KC
Kirstin M. Chavez
CETERA INVESTMENT ADVISERS LLC
Salt Lake City, UT
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CRD#: 2545111
KC
Professional summary
Kirstin Marie Chavez, who also goes by Kirstin M Chavez, Kirstin M Chavezgarcia, Kirstin Marie Chavez-ellis, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Salt Lake City, Utah and CETERA WEALTH SERVICES, LLC located in Salt Lake City, Utah.
Kirstin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kirstin has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kirstin M Chavez | Kirstin M Chavezgarcia | Kirstin Marie Chavez-Ellis
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: UNIVERSITY OF UTAH INVESTMENT RELATED: NO ADDRESS: 1375 E PRESIDENTS CIRCLE SALT LAKE CITY UT NATURE OF BUSINESS: EDUCATION START DATE: 07/2016 POSITION/TITLE/RELATIONSHIP: PROFESSOR APX NUMBER OF HOURS PER WEEK: 18 APX NUMBER OF HOURS DURING TRADING HOURS: 12 BRIEF DESCRIPTION OF DUTIES: I TEACH STUDENTS HOW TO SING AND I TEACH STUDENTS HOW TO BE SUCCESSFUL BUSINESS OWNERS AS FREELANCE PERFORMERS 2. NAME OF OTHER BUSINESS: KIRSTEN CHAVEZ, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PROFESSIONAL SINGER START DATE: 04/2015 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: I TRAVEL AROUND THE WORLD TO SING PROFESSIONALLY WITH INTERNATIONAL OPERA COMPANIES AND SYMPHONY ORCHESTRAS 3. NAME OF OTHER BUSINESS: ARTFXFINANCIAL PLANNING INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 08/2020 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: YS ASSET MANAGEMENT; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 1/2023, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES FOR UTAH-BASED CLIENTS OF YS ASSET MANAGEMENT; 5. NAME OF OTHER BUSINESS: CIO PARTNERS; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: BOARD; START DATE: 9/2023; POSITION/TITLE/RELATIONSHIP: DIRECTOR; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: MANAGE DAY TO DAY ACTIVITIES & PROVIDE FUNDRAISING EFFORTS FOR THE DOMESTIC NONPROFIT CORPORATION; 6. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2021, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 15, APX NUMBER OF HOURS DURING TRADING HOURS: 10, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Kirstin Marie Chavez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Salt Lake City, UT
Current
April 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Salt Lake City, UT
Past
April 20, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
October 21, 2021 - April 20, 2022
FFEC WEALTH PARTNERS LLC
RIA
CRD#: 16507
Salt Lake City, UT
Past
September 13, 2021 - April 20, 2022
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
Salt Lake City, UT
Past
October 12, 1994 - August 28, 1997
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
October 12, 1994 - August 28, 1997
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/9/2023)
RR
Arkansas(6/9/2023)
RR
California(6/9/2023)
RR
Colorado(6/9/2023)
RR
Florida(6/9/2023)
RR
Georgia(1/2/2025)
RR
Idaho(6/9/2023)
RR
Illinois(6/9/2023)
RR
Kansas(6/9/2023)
RR
Missouri(6/9/2023)
RR
Nebraska(3/22/2024)
RR
Ohio(6/11/2023)
RR
Oklahoma(6/9/2023)
RR
Oregon(6/9/2023)
RR
Texas(6/9/2023)
IAR
Texas(6/29/2023)
RR
Utah(4/20/2022)
IAR
Utah(6/29/2023)
RR
Virginia(4/16/2025)
RR
Washington(6/9/2023)
RR
Wyoming(6/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/13/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
