Kristen A. Whealon
Professional summary
Being a previously registered professional could mean that this person 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.
Kristen Ann Whealon, who also goes by Kristen Ann Watson, Kristen Watson, was a registered financial professional .
Kristen is a previously registered financial professional and started their career in finance in 1998. Kristen had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2011 - October 29, 2018
NORTHSTAR SECURITIES, LLC
August 23, 2002 - November 30, 2011
GENEOS WEALTH MANAGEMENT, INC.
March 11, 2002 - July 30, 2002
UNITED SECURITIES ALLIANCE, INC.
July 1, 1999 - March 7, 2002
CETERA ADVISORS LLC
November 10, 1998 - June 17, 1999
IDS LIFE INSURANCE COMPANY
November 10, 1998 - June 17, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
NORTHSTAR SECURITIES, LLC
CRD#: 150409 / SEC#: , 8-68254
Contact information
Documents
Red Flags
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