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KL

Kristine Marie Lord-krahn

CRD# 4241291·Registered 2000 - 2012
Previously Registered: Being a previously registered professional could mean that Kristine 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.

Professional Summary

Kristine Marie Lord-krahn, who also goes by Kristine Marie Lord, was a registered financial advisor. Kristine was a previously registered financial professional and started their career in finance 2000 - 2012. Kristine had worked at 3 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Kristine Marie Lord

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

ALLIANZ LIFE FINANCIAL SERVICES, LLC·CRD# 612
BD
Golden Valley, MN
December 19, 2005 - May 14, 2012
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
May 22, 2001 - January 23, 2004
TCF INVESTMENTS, INC.·CRD# 34954
BD
Minneapolis, MN
August 25, 2000 - May 18, 2001

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Current Firm

AL
ALLIANZ LIFE FINANCIAL SERVICES, LLC

ALLIANZ LIFE FINANCIAL SERVICES, LLC | USALLIANZ INVESTOR SERVICES, LLC | NALAC FINANCIAL PLANS, LLC | NALAC FINANCIAL PLANS, INC.

CRD#: 612 / SEC#: 8-13630
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Contact Information

Main Address

5701 Golden Hills Drive, Minneapolis, MN 55416-1297

Mailing Address

P O Box 1117, Minneapolis, MN 55440-1117

Phone Number

(763) 765-6500

Established

Minnesota since 11/20/1996

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Medium

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICAOWNER—
DIAN, MATTHEW CHRISTOPHERCHIEF COMPLIANCE OFFICER2246088
EBERHARD, DANIEL RICHARDCHIEF FINANCIAL OFFICER8207554
EBERHARD, DANIEL RICHARDPRINCIPAL FINANCIAL OFFICER8207554
EBERHARD, DANIEL RICHARDPRINCIPAL OPERATIONS OFFICER8207554
GAUMOND, WILLIAM EDWARDDIRECTOR5294073
HELMEN, JOHN CURTISASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS4988276
LORD-KRAHN, KRISTINE MARIECHIEF LEGAL OFFICER4241291
THOMES, ERIC JONCHIEF EXECUTIVE OFFICER4645308
WALTHER, COREY JAYPRESIDENT2398952

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 2000About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 2000About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Nov 2000About the Series 24 exam

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CRS (Client Relationship Summary)

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

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