Kristie A. Elstrom

BANKERS LIFE ADVISORY SERVICES

Chicago, IL

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CRD#: 3112677

Professional summary

Kristie Ann Elstrom, who also goes by Kristi Sorce, Kristie Ann Sorce, Kristie Ann Sorce-elstrom, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Chicago, Illinois and BANKERS LIFE SECURITIES, INC. located in Chicago, Illinois.

Kristie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Kristie has worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kristi Sorce | Kristie Ann Sorce | Kristie Ann Sorce-Elstrom

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.

Bankers Life Advisory Services, Associate Chief Compliance Officer LANDLORD POSITION: Landlord NATURE: Rental property INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2016 ADDRESS: 990 N Lake Shore Dr, Unit 7D, Chicago IL 60611, United States DESCRIPTION: I receive rental income from renting out my condo located at 990 N Lake Shore Dr Unit 7D Chicago IL 60611

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristie Ann Elstrom's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 11, 2019 - Present

BANKERS LIFE ADVISORY SERVICES, INC.

RIA

CRD#: 281285

Chicago, IL

Current

February 11, 2019 - Present

BANKERS LIFE SECURITIES, INC.

Office #1: 303 E Wacker Drive 5th Fl, Chicago, IL 60601

CRD#: 173962

Chicago, IL

Past

May 22, 2018 - February 11, 2019

BMO ASSET MANAGEMENT CORP.

RIA

CRD#: 106466

CHICAGO, IL

Past

February 5, 2015 - February 11, 2019

BMO INVESTMENT DISTRIBUTORS, LLC

CRD#: 146711

CHICAGO, IL

Past

May 31, 2007 - May 22, 2018

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

CHICAGO, IL

Past

May 30, 2007 - May 22, 2018

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

CHICAGO, IL

Past

February 12, 2001 - May 21, 2007

VISION INVESTMENT SERVICES, INC.

CRD#: 46609

ROSEMONT, IL

Past

November 18, 1999 - February 7, 2001

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

October 15, 1998 - November 8, 1999

HARRIS INVESTORS DIRECT, INC.

CRD#: 17664

CHICAGO, IL

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".

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 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.

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

Illinois
(2/11/2019)

IAR

Illinois
(2/11/2019)

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

State Security Law Exam

IAR

Series 66

Date: 12/3/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/16/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/4/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/9/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 9/8/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/4/2001

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 Approved)

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Contact information

Main Address

303 E. Wacker Drive 5th Fl, Chicago, IL 60601

Mailing Address

Phone number

(844) 553-9083

Established

Firm type

Fiscal year end

# of Employees

384

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLAS WRAP BROCHURE 03012025 (2/28/2025)

BLAS-ADV-PART2A 03012025 (2/28/2025)

Regulatory assets under management

Total Number of Accounts	14,938
AUM (Assets Under Management)	$ 1,943,847,697

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.

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Kristie A. Elstrom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristie Ann Elstrom's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANKERS LIFE SECURITIES, INC.

BMO ASSET MANAGEMENT CORP.

BMO INVESTMENT DISTRIBUTORS, LLC

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

VISION INVESTMENT SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

HARRIS INVESTORS DIRECT, INC.

Primary Firm SEC Registration

BANKERS LIFE ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/3/2001

Series 63

Date: 10/16/1998

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/4/2001

Series 6

Date: 10/9/1998

Series 53

Date: 9/8/2003

Series 24

Date: 6/4/2001

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BANKERS LIFE ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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