Kristine D. Lantz

ASHTON THOMAS PRIVATE WEALTH

Tucson, AZ 85712

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CRD#: 4123853

Professional summary

Kristine Dawn Lantz is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Tucson, Arizona and M. S. HOWELLS & CO. located in Tucson, Arizona.

Kristine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kristine has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Kristine Dawn Lantz'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

December 13, 2022 - Present

ASHTON THOMAS PRIVATE WEALTH

Office #1: 3971 East Paradise Falls Drive Suite 204, Tucson, AZ 85712

RIA

CRD#: 153902

Tucson, AZ

Current

April 22, 2022 - Present

M. S. HOWELLS & CO.

Office #1: 3971 E Paradise Falls Drive Suite 114, Tucson, AZ 85712

CRD#: 104100

Tucson, AZ

Past

June 27, 2017 - March 22, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Peoria, AZ

Past

June 26, 2017 - March 22, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Peoria, AZ

Past

September 28, 2005 - January 18, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

PHOENIX, AZ

Past

August 30, 2005 - January 18, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PHOENIX, AZ

Past

March 27, 2003 - July 26, 2005

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SCOTTSDALE, AZ

Past

March 19, 2003 - July 26, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

October 11, 2002 - January 21, 2003

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

TUCSON, AZ

Past

May 2, 2001 - January 21, 2003

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

September 13, 2000 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

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".

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 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

Arizona
(5/11/2022)

IAR

Arizona
(12/13/2022)

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: 10/9/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/18/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/12/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 5/30/2003

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

ASHTON THOMAS PRIVATE WEALTH

CRD#: 153902 / SEC#: 801-71512

RIA

Registered Investment Advisory firm - (6/15/2010 Approved)

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Contact information

Main Address

8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260

Mailing Address

Phone number

(602) 732-4745

Established

Firm type

Fiscal year end

# of Employees

114

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A, APPENDIX 1 WRAP FEE PROGRAM BROCHURE (5/5/2025)

ADV PART 2A FIRM BROCHURE (5/5/2025)

Regulatory assets under management

Total Number of Accounts	6,733
AUM (Assets Under Management)	$ 4,051,333,740

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

Kristine D. Lantz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristine Dawn Lantz's CRS (Customer Relationship Summary).

Certified licenses

Experience

M. S. HOWELLS & CO.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

Primary Firm SEC Registration

ASHTON THOMAS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2002

Series 63

Date: 10/18/2000

SIE

Date: 10/1/2018

Series 7

Date: 9/12/2000

Series 9

Date: 5/30/2003

FINRA

Current Firm

ASHTON THOMAS PRIVATE WEALTH

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASHTON THOMAS PRIVATE WEALTH

TRUST BUT VERIFY

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