Kristian Daniel Colvin
CFP®Professional Summary
Kristian Daniel Colvin, CFP®, who also goes by Kris Colvin, is a registered financial advisor currently at EMERSON EQUITY LLC located in La Jolla, California. Kristian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kristian has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Estate Planning
- Comprehensive Financial Planning
- Insurance Planning
- Retirement Planning
- Investment Planning
Other Aliases
Kris Colvin
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OSAIC WEALTH, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
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JANNEY MONTGOMERY SCOTT LLC
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Contact Information
xxxxx@xxxx.xxx
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JANNEY MONTGOMERY SCOTT LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
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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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JANNEY MONTGOMERY SCOTT LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
OSAIC WEALTH, INC.
Credentials
Years of Experience
29 years registered in the securities industry
Current & Past Employments
Current
Past
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JANNEY MONTGOMERY SCOTT LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
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Current Firm
DIAMOND MOUNTAIN FINANCIAL | EMERSON EQUITY LLC
Contact Information
Main Address
155 Bovet Road, Suite 725, San Mateo, CA 94402Mailing Address
155 Bovet Road, Suite 725, San Mateo, CA 94402Phone Number
(650) 312-0200Established
California since 10/10/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Medium# of Employees
343SEC notice filing (34 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 34 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
682AUM (Assets Under Management)
$321,704,653Disclosures
Regulatory Event
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JANNEY MONTGOMERY SCOTT LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
JANNEY MONTGOMERY SCOTT LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
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Primary Firm SEC Registration
DIAMOND MOUNTAIN FINANCIAL | EMERSON EQUITY LLC
State Registrations and Notice Filings
(12/9/2009)
(9/8/2009)
(9/9/2009)
(2/10/2020)
(1/5/2021)
(10/7/2011)
(1/27/2010)
(5/11/2026)
(12/9/2013)
(9/14/2012)
(7/12/2023)
(6/5/2014)
(11/13/2012)
(11/21/2012)
(4/24/2013)
(12/6/2012)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2000About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Kristian Daniel Colvin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kristian Daniel Colvin's CRS (Customer Relationship Summary).
Services Offered by Kristian
- Estate Planning
- Comprehensive Financial Planning
- Insurance Planning
- Retirement Planning
- Investment Planning
Similar Advisors
JANNEY MONTGOMERY SCOTT LLC
FALCON WEALTH PLANNING, LLC
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
OSAIC WEALTH, INC.