Kristen S. Leclair

994 GROUP

Austin, TX 78704

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CRD#: 4341716

Professional summary

Kristen Sanders Leclair, CFP®, who also goes by Kristen Sanders Whisnant, is a registered financial advisor currently at 994 GROUP located in Austin, Texas.

Kristen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Kristen has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kristen Sanders Whisnant

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.

WELL AWARE- AUSTIN, TX; BOARD OF DIRECTOR; START DATE 05/2018; 4 HOURS PER MONTH; 0 HOURS DURING TRADING; ATTENDS BOARD OF DIRECTORS MEETINGS 'Drive a Senior SW' Austin, TX, Board of Director, Start Date 6/2018, Not Investment Related, 3 hours per month, attends board meeting and drives senior citizen to appointments, Independent Insurance Agent, Not Investment Related, insurance sales, start date 1/2019,4 hours per month,'St. Michael's Day School', Austin, TX Board of Director, Start Date 11/2018, Not Investment Related, 1 hour per month, attends board meeting.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristen Sanders Leclair'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®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

November 26, 2018 - Present

994 GROUP

Office #1: 801 Barton Springs Road, Austin, TX 78704

RIA

CRD#: 289923

Austin, TX

Past

March 29, 2018 - December 4, 2018

994 GROUP

RIA

CRD#: 292730

Austin, TX

Past

April 19, 2016 - September 15, 2017

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

AUSTIN, TX

Past

December 17, 2010 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

AUSTIN, TX

Past

December 6, 2010 - September 15, 2017

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

AUSTIN, TX

Past

March 1, 2008 - November 15, 2010

LPL FINANCIAL LLC

RIA

CRD#: 3496

LITTLE ROCK, AR

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".

994 GROUP

994 GROUP | MJR FINANCIAL LLC | MJR FINANCIAL

CRD#: 289923 / SEC#: 801-128543

RIA

Registered Investment Advisory firm - (8/9/2023 Approved)

New York

Registered Investment Advisory firm - (10/25/2023 Terminated)

Texas

Registered Investment Advisory firm - (10/25/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(8/9/2023)

IAR

New York
(7/26/2021)

IAR

Texas
(11/26/2018)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/23/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/15/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/30/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/17/2009

General Securities Principal Examination

Current Firm

994 GROUP

994 GROUP | MJR FINANCIAL LLC | MJR FINANCIAL

CRD#: 289923 / SEC#: 801-128543

RIA

Registered Investment Advisory firm - (8/9/2023 Approved)

New York

Registered Investment Advisory firm - (10/25/2023 Terminated)

Texas

Registered Investment Advisory firm - (10/25/2023 Terminated)

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Contact information

Main Address

801 Barton Springs Road, Austin, TX 78704

Mailing Address

Phone number

(512) 853-9597

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

994 GROUP PART 2A - MARCH 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	668
AUM (Assets Under Management)	$ 186,789,985

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

Kristen S. Leclair

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristen Sanders Leclair's CRS (Customer Relationship Summary).

Certified licenses

Experience

994 GROUP

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST SECURITIES, INC.

TRUIST SECURITIES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

BACAP DISTRIBUTORS, LLC

BACAP DISTRIBUTORS, LLC

STEPHENS

STEPHENS

Primary Firm SEC Registration

994 GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2002

SIE

Date: 9/15/2017

Series 7

Date: 8/30/2001

Series 24

Date: 4/17/2009

Current Firm

994 GROUP

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

994 GROUP

TRUST BUT VERIFY

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