Alissa Anne Kroeger, CFP | Financial Professional | Westlake Village, California

Professional summary

Alissa Anne Kroeger, CFP®, who also goes by Alissa Anne Kroeger, Alissa Kroeger, Alissa Anne Lindsey, is a registered financial advisor currently at COOPER MCMANUS located in Westlake Village, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Westlake Village, California.

Alissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Alissa has worked at 10 firms and has passed the Series 65, Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alissa Anne Kroeger | Alissa Kroeger | Alissa Anne Lindsey

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.

1) LINDSEY AND LINDSEY WEALTH MANAGEMENT, 4195 E THOUSAND OAKS BLVD, #125, WESTLAKE VILLAGE, CA, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, 09/01/18, INV REL, 8/WK- 3/TRADING 2) LINDSEY AND LINDSEY WEALTH MANAGEMENT, 4195 E THOUSAND OAKS BLVD #125, WESTLAKE VILLAGE, CA, NOTARY PUBLIC 02/22/17, NIR, 2/YR- 0/TRADING 3) COOPER MCMANUS, 9870 RESEARCH DRIVE, IRVINE, CA, ADV REP OF A REGISTERED INV ADVISOR, RIA, 09/01/18, INV REL, 40 HR/WK- 40/TRADING HR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alissa Anne Kroeger'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: 2018

Experience

Current

August 20, 2018 - Present

COOPER MCMANUS

Office #1: 4195 E Thousand Oaks Blvd Ste 125, Westlake Village, CA 91362Office #2: 2400 Camino Ramon Ste 380, San Ramon, CA 94583Office #3: 2700 E Foothill Rd Suite 306, Pasadena, CA 91107Office #4: 200 Auburn Folsom Rd. Suite 101, Auburn, CA 95603

RIA

CRD#: 111458

Westlake Village, CA

Current

March 27, 2020 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 4195 E. Thousand Oaks Blvd Suite 125, Westlake Village, CA 95603Office #2: 6200 Antioch St., Oakland, CA 94611Office #3: 301 N Lake Ave. Ste. 770, Pasadena, CA 91101Office #4: 416 Auburn Folsom Rd., Auburn, CA 95603Office #5: 899 Northgate Drive Suite 307, San Rafael, CA 94903Office #6: 1255 Treat Blvd. #300, Walnut Creek, CA 94597

BD

CRD#: 250

TEMPE, AZ

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".

CM

COOPER MCMANUS

CRD#: 111458 / SEC#: 801-61944

RIA

Registered Investment Advisory firm - (4/7/2003 Approved)

California

Registered Investment Advisory firm - (4/9/2003 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.

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
(3/27/2020)

IAR

California
(8/20/2018)

RR

California
(3/27/2020)

RR

Colorado
(1/5/2022)

RR

Florida
(1/5/2022)

RR

Hawaii
(1/5/2022)

RR

Idaho
(1/5/2022)

RR

Maryland
(1/5/2022)

RR

Minnesota
(1/5/2022)

RR

Nevada
(3/27/2020)

RR

New York
(7/6/2020)

RR

North Carolina
(1/7/2022)

RR

North Dakota
(1/5/2022)

RR

Oklahoma
(1/5/2022)

RR

Oregon
(1/5/2022)

RR

South Carolina
(1/2/2025)

RR

South Dakota
(1/8/2024)

RR

Tennessee
(1/5/2022)

RR

Texas
(3/27/2020)

RR

Utah
(12/17/2024)

RR

Virginia
(1/5/2022)

RR

Washington
(10/15/2020)

RR

Wisconsin
(1/6/2022)

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 65

Date: 3/27/2017

Uniform Investment Adviser Law Examination

CM

COOPER MCMANUS

CRD#: 111458 / SEC#: 801-61944

RIA

Registered Investment Advisory firm - (4/7/2003 Approved)

California

Registered Investment Advisory firm - (4/9/2003 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).

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Contact information

Main Address

9870 Research Drive, Irvine, CA 92618

Mailing Address

Phone number

(800) 516-5333

Established

Firm type

Fiscal year end

# of Employees

52

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COOPER MCMANUS ADV PART 2A (5/20/2025)

COOPER MCMANUS ADV PART 2A APPENDIX 1 (2/10/2025)

Regulatory assets under management

Total Number of Accounts	6,372
AUM (Assets Under Management)	$ 2,560,714,584

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Alissa A. Kroeger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alissa Anne Kroeger's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

SECURITIES AMERICA, INC.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

STRATCAP SECURITIES, LLC

ALPHAMAX DISTRIBUTORS, L.L.C.

STRATCAP SECURITIES, LLC

TNP SECURITIES, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

COOPER MCMANUS

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2017

Series 66

Date: 12/20/2010

SIE

Date: 10/1/2018

Series 3

Date: 4/13/2015

Series 7

Date: 11/22/2010

FINRA

Current Firm

COOPER MCMANUS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COOPER MCMANUS

TRUST BUT VERIFY

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