Angela L. Kern

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CRD#: 3150878

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.

Angela Lee Kern, CFP®, who also goes by Angela Lee Glider, Angela L Grillo, Angela Lee Grillo, Angela Kern, Angie Kern, Angela Lee Mcleod, Angela Mcleod, was a registered financial professional .

Angela is a previously registered financial professional and started their career in finance in 1999. Angela had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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.

start date 08/2022 - GT Independence, 215 Broadus St, Sturgis, MI 49091, Caregiver, not investment related, no time spent on this during securities trading hours while working with Financial Strategies, Inc.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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^®

CRD#: 125472

IRVINE, CA

Past

May 4, 2005 - November 14, 2007

COMPAK ASSET MANAGEMENT

RIA

CRD#: 109930

IRVINE, CA

Past

April 1, 2002 - April 5, 2004

SYNDICATED CAPITAL, INC.

CRD#: 29037

DIAMOND BAR, CA

Past

March 28, 2000 - April 24, 2000

WEST BAY FINANCIAL GROUP INCORPORATED

CRD#: 46052

SANTA ANA, CA

Past

July 19, 1999 - April 10, 2000

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

February 23, 1999 - June 15, 1999

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

January 20, 1999 - March 17, 1999

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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".

FINANCIAL STRATEGIES, INC.

FINANCIAL STRATEGIES, INC. | FINANCIAL STRATEGIES, INCORPORATED

CRD#: 113097 / SEC#: 801-125921

RIA

Registered Investment Advisory firm - (6/21/2022 Approved)

Arizona

Registered Investment Advisory firm - (6/27/2022 Terminated)

Illinois

Registered Investment Advisory firm - (12/16/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/27/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/20/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/20/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/20/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/19/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FINANCIAL STRATEGIES, INC.

FINANCIAL STRATEGIES, INC. | FINANCIAL STRATEGIES, INCORPORATED

CRD#: 113097 / SEC#: 801-125921

RIA

Registered Investment Advisory firm - (6/21/2022 Approved)

Arizona

Registered Investment Advisory firm - (6/27/2022 Terminated)

Illinois

Registered Investment Advisory firm - (12/16/2021 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/27/2022 Terminated)

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Contact information

Main Address

13555 Bishops Court Suite 340, Brookfield, WI 53005

Mailing Address

Phone number

(262) 821-1664

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FINANCIAL STRATEGIES ADV PART 2A ANNUAL AMENDMENT V.03.31.25 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	554
AUM (Assets Under Management)	$ 137,037,345

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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Advisor Monitoring

Firm Stability Insights

Angela L. Kern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ANNEX WEALTH MANAGEMENT, LLC

GREAT VALLEY ADVISOR GROUP, LLC

MCLEOD FINANCIAL SERVICES, LLC

MCLEOD FINANCIAL SERVICES, LLC

PURE FINANCIAL ADVISORS, LLC

COMPAK SECURITIES, INC.

COMPAK ASSET MANAGEMENT

SYNDICATED CAPITAL, INC.

WEST BAY FINANCIAL GROUP INCORPORATED

LPL FINANCIAL LLC

OSAIC WEALTH, INC.

WMA SECURITIES, INC.

Primary Firm SEC Registration

FINANCIAL STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/20/2003

Series 63

Date: 1/20/1999

Series 7

Date: 3/20/2000

Series 6

Date: 1/19/1999

Current Firm

FINANCIAL STRATEGIES, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL STRATEGIES, INC.

TRUST BUT VERIFY

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