KF
Kristen M. Frame
Some features on this profile are disabled
CRD#: 3187244
KF
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 Michelle Frame, who also goes by Kristen M Wolthausen, Kristen Michelle Wolthausen, was a registered financial professional .
Kristen is a previously registered financial professional and started their career in finance in 1999. Kristen had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kristen M Wolthausen | Kristen Michelle Wolthausen
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.
1. 11/29/2019 - Unified Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 1/3/2020 - Unified Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin. - Started 1/2/2020 - 30 Hours Per Month During Securities Trading - I provide administrative support to Unified Wealth Management, LLC, an independent investment advisor firm. I started this business activity in 01/2020. I expect to spend approximately 30 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 9/21/2020 - Winthrop Advisory Group LLC - DBA: (Hybrid) Winthop Wealth - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 09/09/2020 - 1 Hour Per Month During Securities Trading. 4. 9/21/2020 - Winthrop Advisory Group LLC - DBA: (Hybrid) Unified Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 09/09/2020 - 40 Hours Per Month/2 Hours During Securities Trading. 5. 9/21/2020 - Winthrop Advisory Group LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/09/2020 - 40 Hours Per Month/2 Hours During Securities Trading - I provide investment advisory services through Winthrop Wealth, an independent investment advisor firm. I started this business activity in 09/2020. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 1/22/2021 - Fairfield Public Schools - Not Investment Related - 501 Kings Highway East, Suite 210 Fairfield, CT 06825 HQ (could be at various schools) - Started 12/23/2020 - 15 Hours Per Month/0 Hours During Securities Trading - Substitute teacher.
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®
NoneExperience
Past
August 17, 2020 - November 28, 2022
WINTHROP WEALTH
RIA
CRD#: 288178
Westport, CT
Past
November 29, 2019 - August 10, 2020
UNIFIED WEALTH MANAGEMENT, LLC
RIA
CRD#: 133202
SCOTTSDALE, AZ
Past
November 29, 2019 - December 8, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTPORT, CT
Past
January 5, 2005 - December 8, 2017
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Rye Brook, NY
Past
February 23, 1999 - December 8, 2017
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Rye Brook, NY
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".
WW
WINTHROP WEALTH
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS
CRD#: 288178 / SEC#: 801-110461
RIA
Registered Investment Advisory firm - (4/28/2017 Approved)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WW
WINTHROP WEALTH
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS
CRD#: 288178 / SEC#: 801-110461
RIA
Registered Investment Advisory firm - (4/28/2017 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
321 Columbus Ave 3rd Fl, Boston, MA 02116-5168
Mailing Address
Phone number
(617) 530-1010
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,872 |
| AUM (Assets Under Management) | $ 2,600,886,145 |
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.
