KW
Kristine E. Wexler
ALLIANCEBERNSTEIN L.P.
San Diego, CA 92121
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CRD#: 4204029
KW
Professional summary
Kristine Elizabeth Wexler, CFP®, who also goes by Kristine Elizabeth Willey, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in San Diego, California and SANFORD C. BERNSTEIN & CO., LLC located in San Diego, California.
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 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristine Elizabeth Willey
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.
Name of the business: Burling Bancorp Investment - related: Yes Position: chairman of the board Start Date: 9/25/2020 Nature of the business: Burling Bancorp is the parent company of Burling Bank, Burling Ventures and Burling Wealth Management. Burling Bank is a retail Chicago based bank with business and personal cash deposits, checking accounts, savings accounts, personal lending, mortgage lending and credit cards. Burling Ventures is a branch the incubates private investment ideas and helps to grow those companies through expertise and capital. Burling Wealth Management is a branch that includes referring the wealth management of needs to a few different brokers in Chicago (minimums are less than the $1million for private client).
CRS (Client Relationship Summary) - RIA
Click below to view Kristine Elizabeth Wexler's 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®
Experience
Current
July 7, 2020 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 4365 Executive Drive, Suite 700, San Diego, CA 92121RIA
CRD#: 108477
San Diego, CA
Current
May 11, 2020 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 4365 Executive Drive - 7th Flr. Suite 700, San Diego, CA 92121RIA
BD
CRD#: 104474
San Diego, CA
Past
July 3, 2000 - July 2, 2019
BESSEMER INVESTOR SERVICES, INC.
BD
CRD#: 17442
CHICAGO, IL
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".
AL
ALLIANCEBERNSTEIN L.P.
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
RIA
Registered Investment Advisory firm - (8/13/1999 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
Arizona(9/13/2022)
RR
California(8/25/2020)
IAR
California(1/3/2024)
RR
Colorado(8/5/2022)
RR
District of Columbia(2/11/2022)
IAR
District of Columbia(2/14/2022)
RR
Florida(9/12/2022)
IAR
Florida(9/20/2022)
RR
Georgia(4/27/2022)
RR
Illinois(5/11/2020)
IAR
Illinois(7/7/2020)
RR
Indiana(8/10/2022)
RR
Iowa(2/17/2021)
RR
Maine(8/28/2020)
RR
Maryland(10/25/2021)
RR
Massachusetts(2/25/2021)
RR
Michigan(2/17/2021)
RR
New Hampshire(4/9/2021)
RR
New Mexico(10/13/2021)
RR
New York(10/20/2020)
RR
North Carolina(10/15/2021)
RR
Ohio(2/18/2021)
RR
Pennsylvania(10/13/2021)
RR
Texas(7/23/2021)
IAR
Texas(10/9/2023)
RR
Vermont(4/23/2021)
RR
Virgin Islands(4/28/2021)
RR
Virginia(3/17/2021)
RR
Washington(1/20/2022)
RR
Wyoming(10/13/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AL
ALLIANCEBERNSTEIN L.P.
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
RIA
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Contact information
Main Address
501 Commerce Street, Nashville, TN 37203
Mailing Address
Phone number
(615) 622-0000
Established
Firm type
Fiscal year end
# of Employees
3,994
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 68,593 |
| AUM (Assets Under Management) | $ 709,162,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 10/27/2023 |
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.
