KB
Kristy L. Berger
AURORA PRIVATE WEALTH
Wichita, KS 67226
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CRD#: 2968846
KB
Professional summary
Kristy Lynn Berger, who also goes by Kristy L Allen, Kristy Lynn Allen, Kristy Lynn Brown, is a registered financial advisor currently at AURORA PRIVATE WEALTH, INC. located in Wichita, Kansas and APW CAPITAL, INC. located in Wichita, Kansas.
Kristy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kristy has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristy L Allen | Kristy Lynn Allen | Kristy Lynn Brown
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.
PLANNED PROFESSIONAL Management, Inc/8100 E. 22ND N. BLDG 100-8, WICHITA,KS 67226;RIA/ SOLE PROPRIETOR; 03/01/2012 START DATE; FULL TIME; DUTIES INCLUDE All management duties. Financial planning and investment management /// Life & Health Insurance, 8100 E. 22nd N, Bldg 100-8, Wichita, KS 67226/INDEPENDENT INSURANCE AGENT, NOT INVESTMENT RELATED, WICHITA KS, LIFE & HEALTH INSURANCE SALES, SINCE 02/2012 /// Farm/Livestock, Investment related:No, 2430 Highway K15, Udall, Kansas, 67146, Farm/Livestock, partner with my husband, 09/01/1999, 7 hours per week, husband is the main operator, Raising cattle and horses.
CRS (Client Relationship Summary) - RIA
Click below to view Kristy Lynn Berger'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
April 18, 2019 - Present
AURORA PRIVATE WEALTH, INC.
Office #1: 8100 E. 22nd N Bldg. 100-8, Wichita, KS 67226RIA
CRD#: 281604
Wichita, KS
Current
August 11, 2010 - Present
APW CAPITAL, INC.
Office #1: 8100 East 22nd Street, Bldg 100-8, Wichita, KS 67226BD
CRD#: 43814
Wichita, KS
Past
October 13, 2014 - October 14, 2019
PLANNED PROFESSIONAL ADVISORY
RIA
CRD#: 116152
WICHITA, KS
Past
November 2, 2009 - July 28, 2010
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
WICHITA, KS
Past
September 24, 2009 - November 13, 2009
MAIN STREET SECURITIES, LLC
BD
CRD#: 47127
HAYS, KS
Past
July 27, 1999 - May 10, 2001
PIM FINANCIAL SERVICES, INC.
BD
CRD#: 10547
SAN MARCOS, CA
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".
AP
AURORA PRIVATE WEALTH, INC.
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | STANDARD PENSION SERVICES | SPRING DELTA ASSET MANAGEMENT | PLANNED PROFESSIONAL ADVISORY | NIELSEN FINANCIAL GROUP | MOORE WEALTH MANAGEMENT | MAIN STREET PRIVATE ADVISORS | JFL TOTAL WEALTH MANAGEMENT | INDIGO WEALTH MANAGEMENT | HARPER & HODGE | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
CRD#: 281604 / SEC#: 801-110498
RIA
Registered Investment Advisory firm - (5/5/2017 Approved)California
Registered Investment Advisory firm - (6/4/2017 Terminated)Florida
Registered Investment Advisory firm - (5/5/2017 Terminated)New Jersey
Registered Investment Advisory firm - (5/24/2017 Terminated)Ohio
Registered Investment Advisory firm - (5/5/2017 Terminated)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(7/3/2014)
RR
Colorado(3/7/2012)
RR
Kansas(8/11/2010)
IAR
Kansas(4/18/2019)
RR
Louisiana(1/21/2015)
RR
Massachusetts(1/4/2024)
RR
Michigan(11/20/2023)
RR
Minnesota(3/7/2012)
RR
Missouri(3/6/2012)
RR
North Carolina(1/18/2017)
RR
Oklahoma(3/9/2012)
RR
Texas(3/23/2012)
RR
Utah(11/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AP
AURORA PRIVATE WEALTH, INC.
ARTISAN ADVISORS, INC. | WEALTHPLAN ADVANTAGE | WEALTH PLAN ADVANTAGE | WACHTEL CAPITAL ADVISORS | STERLING GLOBAL STRATEGIES | STANDARD PENSION SERVICES | SPRING DELTA ASSET MANAGEMENT | PLANNED PROFESSIONAL ADVISORY | NIELSEN FINANCIAL GROUP | MOORE WEALTH MANAGEMENT | MAIN STREET PRIVATE ADVISORS | JFL TOTAL WEALTH MANAGEMENT | INDIGO WEALTH MANAGEMENT | HARPER & HODGE | BRIO FINANCIAL SERVICES | AURORA PRIVATE WEALTH, INC.
CRD#: 281604 / SEC#: 801-110498
RIA
Registered Investment Advisory firm - (5/5/2017 Approved)California
Registered Investment Advisory firm - (6/4/2017 Terminated)Florida
Registered Investment Advisory firm - (5/5/2017 Terminated)New Jersey
Registered Investment Advisory firm - (5/24/2017 Terminated)Ohio
Registered Investment Advisory firm - (5/5/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
100 Enterprise Drive Suite 504, Rockaway, NJ 07866
Mailing Address
Phone number
(973) 394-0404
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,843 |
| AUM (Assets Under Management) | $ 395,308,639 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
AURORA PRIVATE WEALTH, INC.
CRD#: 281604Wichita, KS 67226TRUST BUT VERIFY
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