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KG

Kristina L. Grant

CETERA INVESTMENT ADVISERS
CUMBERLAND, ME
CRD#: 3209253
Some features on this profile are disabled
KG
Kristina Lee GrantCETERA INVESTMENT ADVISERS

Professional summary

Kristina Lee Grant, who also goes by Kristina Lee Oliver, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cumberland, Maine and CETERA INVESTMENT SERVICES LLC located in Cumberland, Maine.

Kristina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Kristina has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kristina Lee Oliver

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristina Lee Grant'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

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #2: 194 Beechland Rd, Ellsworth, ME 04605
RIA
CRD#: 105644
CUMBERLAND, ME
Current

July 12, 2010 - Present

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
CUMBERLAND, ME
Past

July 13, 2010 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
ELLSWORTH, ME
Past

November 17, 2009 - April 30, 2010

TD WEALTH MANAGEMENT SERVICES INC.

RIA
CRD#: 6940
PORTLAND, ME
Past

November 17, 2009 - April 30, 2010

TD WEALTH MANAGEMENT SERVICES INC.

BD
CRD#: 6940
PORTLAND, ME
Past

August 28, 2007 - November 17, 2009

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
PORTLAND, ME
Past

January 1, 2005 - November 17, 2009

BANCNORTH INVESTMENT GROUP, INC.

BD
CRD#: 31299
PORTLAND, ME
Past

June 6, 2001 - January 1, 2005

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

January 8, 2001 - June 6, 2001

COMPULIFE INVESTOR SERVICES, INC.

BD
CRD#: 21543
ST. CLOUD, MN

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 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.
RR
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

RR
Maine
(7/13/2010)
IAR
Maine
(1/21/2014)
RR
New Hampshire
(7/12/2010)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/15/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/23/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/12/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/5/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/27/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Cumberland, ME

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