Kristina K. Mauldin
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.
Kristina K Mauldin, who also goes by Kristina Kay Mauldin, was a registered financial professional .
Kristina is a previously registered financial professional and started their career in finance in 1998. Kristina had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2015 - January 16, 2018
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
March 18, 2015 - January 16, 2018
FIRST REPUBLIC SECURITIES COMPANY, LLC
October 18, 2013 - February 24, 2014
NEUBERGER BERMAN BD LLC
January 30, 2013 - February 24, 2014
NEUBERGER BERMAN BD LLC
February 13, 2012 - February 28, 2012
IMPERIAL CAPITAL, LLC
January 16, 2008 - June 15, 2010
PRESIDIO CAPITAL ADVISORS, LLC
September 21, 2006 - January 17, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 6, 2005 - October 2, 2006
CHASE INVESTMENT SERVICES CORP.
February 28, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 15, 2000 - September 18, 2001
UBS FINANCIAL SERVICES INC.
August 26, 1999 - September 15, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 10, 1998 - July 1, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN PRIVATE WEALTH ADVISORS LLC
CRD#: 108559 / SEC#: 801-56293
Contact information
Regulatory assets under management
| Total Number of Accounts | 56,585 |
| AUM (Assets Under Management) | $ 86,270,585,130 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2024 | ||
| 02/28/2024 |
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.
