KK
Kristin E. Kornemann
CETERA INVESTMENT ADVISERS LLC
ROCKVILLE, MD 20850
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CRD#: 2948412
KK
Professional summary
Kristin Edwina Kornemann, CFP®, CLU®, who also goes by Kris Kornemann, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Rockville, Maryland and CETERA WEALTH SERVICES, LLC located in Rockville, Maryland.
Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kristin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kris Kornemann
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.
ERIE INSURANCE POSITION: Salesperson NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2006 ADDRESS: , Rockville MD , United States DESCRIPTION: Salesperson FINANCIAL ADVANTAGE BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/01/2000 ADDRESS: , Rockville MD , United States DESCRIPTION: Agent/Broker HOMEOWNERS ASSOCIATION PRESIDENT POSITION: Officer NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2014 ADDRESS: , Damascus MD , United States DESCRIPTION: Officer
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Edwina Kornemann'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®
CFP®
Start date: 2007
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2101 Gaither Rd Ste 600, Rockville, MD 20850RIA
CRD#: 105644
ROCKVILLE, MD
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2101 Gaither Rd Suite 600, Rockville, MD 20850BD
CRD#: 13572
Rockville, MD
Past
April 26, 2002 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
ROCKVILLE, MD
Past
December 15, 2000 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ROCKVILLE, MD
Past
October 13, 1999 - November 24, 2000
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
December 16, 1997 - September 15, 1999
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
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(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Connecticut(1/3/2024)
RR
District of Columbia(8/10/2023)
RR
Florida(8/11/2023)
RR
Illinois(8/10/2023)
RR
Maine(8/10/2023)
RR
Maryland(8/10/2023)
IAR
Maryland(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
New Hampshire(8/10/2023)
RR
New Jersey(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
Oklahoma(9/28/2023)
RR
Oregon(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
Puerto Rico(1/3/2024)
RR
South Carolina(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Virginia(8/10/2023)
RR
Washington(8/10/2023)
RR
West Virginia(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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.
