Kristen J. Guerrero
Professional summary
Being a previously registered professional could mean that this person 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.
Kristen J Guerrero, who also goes by Kristen Jane Guerrero, Kristen Jane Tippit, was a registered financial professional .
Kristen is a previously registered financial professional and started their career in finance in 2004. Kristen had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2018 - June 17, 2020
PCG WEALTH MANAGEMENT
January 3, 2018 - June 22, 2020
LPL FINANCIAL LLC
March 28, 2014 - December 31, 2017
WADDELL & REED
April 22, 2008 - December 31, 2017
WADDELL & REED
October 16, 2006 - August 29, 2007
COMMONWEALTH FINANCIAL NETWORK
May 16, 2005 - September 11, 2006
NICHOLSON MEYER CAPITAL MANAGEMENT, INC.
March 19, 2004 - November 12, 2004
SCOTTRADE, INC.
Primary Firm SEC Registration
PCG WEALTH MANAGEMENT
CRD#: 290977 / SEC#: 801-112183
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PCG WEALTH MANAGEMENT
CRD#: 290977 / SEC#: 801-112183
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,795 |
| AUM (Assets Under Management) | $ 765,458,126 |
Red Flags
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