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Kristopher Elliott Kitchen

CRD# 2783285·Registered 1997 - 2012
Previously Registered: Being a previously registered professional could mean that Kristopher is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Kristopher Elliott Kitchen was a registered financial advisor. Kristopher was a previously registered financial professional and started their career in finance 1997 - 2012. Kristopher had worked at 4 firms and has passed the Series 63, Series 65, Series 31, Series 7, Series 10 and Series 9 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

29 years in the financial services industry

Current & Past Employments

CYPRESS CAPITAL CORPORATION·CRD# 42618
BD
San Francisco, CA
September 2, 2009 - August 1, 2012
ATEL SECURITIES CORPORATION·CRD# 17229
BD
San Francisco, CA
April 3, 2007 - August 25, 2009
STATE FARM VP MANAGEMENT CORP.·CRD# 43036
BD
Austin, TX
September 4, 2003 - April 3, 2007
MORGAN STANLEY DW INC.·CRD# 7556
RIA
Austin, TX
March 10, 1997 - December 9, 2002
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
March 7, 1997 - December 9, 2002

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Current Firm

CC
CYPRESS CAPITAL CORPORATION

CYPRESS CAPITAL CORPORATION

CRD#: 42618 / SEC#: 8-49911
BD
Terminated by SEC on 10/20/2015

Contact Information

Established

California since 12/03/1996

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
CYPRESS LEASING CORP.OWNER—
HARWOOD, STEPHEN ROGERSDIRECTOR1375271
RAEL, DANIEL PETERPRESIDENT, CCO, AML OFFICER2777430

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2009About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Apr 2001About the Series 65 exam

Series 31 — Futures Managed Funds Examination

Passed Mar 1997About the Series 31 exam

Series 7 — General Securities Representative Examination

Passed Mar 1997About the Series 7 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Nov 2000About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Nov 2000About the Series 9 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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