KS
Kristel L. Strittmatter
CETERA INVESTMENT ADVISERS LLC
Fargo, ND 58104
Some features on this profile are disabled
CRD#: 4706789
KS
Professional summary
Kristel Lea Strittmatter, who also goes by Kristel L Engelby, Kristel Lea Engelby, Kristel L Strittmatter, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Fargo, North Dakota and CETERA WEALTH SERVICES, LLC located in Fargo, North Dakota.
Kristel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Kristel has worked at 4 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristel L Engelby | Kristel Lea Engelby | Kristel L Strittmatter
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.
(dba) THE AFFILIATES FINANCIAL; Investment Related; 818 Main Avenue, Suite 3, Fargo ND 58103; Owner; Start Date 01/2020; 36 hours per month; The Affiliates Financial is the DBA name for the OSJ/Designated Principal branch. >> JAY C MATTHEWS INSURANCE & INVESTMENTS; Investment Related; 818 Main Avenue, Suite 3, Fargo ND 58103; Client Services; Start Date 01/2020; 15 hours per month; Help service clients and provide other administrative support. >> SAPPHIRE FINANCIAL LLC; Investment Related; 818 Main Avenue, Suite 3, Fargo, ND 58103; Insurance; President; Start Date 5/2022; 600 hours per month with many of those hours per month occurring during trading hours; LLC created for my investment and insurance business. >> INSURANCE; Investment Related; 818 Main Avenue, Suite 3, Fargo, ND 58103; Insurance; Producer; Start Date 04/2020; 10 hours per month with varied number of hours occurring during trading hours; Sales and service of fixed life, fixed annuity and employee benefit products such as short-term disability, long-term disability, dental, vision, and/or group insurance products. >> HAWLEY YOUTH BASKETBALL ASSOCIATION (HYBA); Non-investment related; 24682 1st Avenue North, Hawley, MN 56549; Officer; 1) Board Member: Start Date 08/2023; 4 hours per month with varied hours per month during trading hours depending on the time of the year; Role includes coordinating infrastructure (uniforms/facilities), fundraising and promoting youth basketball in my community as well as organizing online registration, communicating with parents/guardians and coaches and working with area schools and local facilities to schedule gym time. 2) Vice President; HYBA now has 501c3 status. Fundraising goals are to have an opportunity to provide scholarship/sponsorship to kids who are in need of financial assistance, provide equipment for youth teams and tournament sponsorship. >> (dba) CAPITAL RESOURCE MANAGEMENT LLC; Investment Related; Fargo, ND; Investments and Insurance; Adviser; Start Date 02/2024; 150 hours per month with 120 hours per month occurring during trading hours; dba name only - all income will flow through my broker/dealer and/or fixed insurance companies with which I am appointed.
CRS (Client Relationship Summary) - RIA
Click below to view Kristel Lea Strittmatter'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®
NoneExperience
Current
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4650 38th Ave S Suite 120, Fargo, ND 58104RIA
CRD#: 105644
Fargo, ND
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4650 38th Ave S Suite 120, Fargo, ND 58104BD
CRD#: 13572
Fargo, ND
Past
November 7, 2011 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Fargo, ND
Past
October 14, 2011 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Fargo, ND
Past
December 20, 2007 - October 18, 2011
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
FARGO, ND
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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(2/20/2025)
RR
California(2/20/2025)
RR
Colorado(2/20/2025)
RR
District of Columbia(2/20/2025)
RR
Florida(2/20/2025)
RR
Idaho(2/20/2025)
RR
Illinois(2/20/2025)
RR
Indiana(2/20/2025)
RR
Iowa(2/20/2025)
RR
Kansas(2/20/2025)
RR
Kentucky(2/20/2025)
RR
Maryland(2/20/2025)
RR
Minnesota(2/20/2025)
RR
Montana(2/20/2025)
RR
Nebraska(2/20/2025)
RR
Nevada(2/20/2025)
RR
New Hampshire(2/20/2025)
RR
New Mexico(2/20/2025)
RR
New York(2/20/2025)
RR
North Carolina(2/20/2025)
RR
North Dakota(2/20/2025)
IAR
North Dakota(2/20/2025)
RR
Ohio(2/20/2025)
RR
Oregon(2/20/2025)
RR
Pennsylvania(2/20/2025)
RR
South Carolina(2/20/2025)
RR
South Dakota(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Utah(2/20/2025)
RR
Virginia(2/20/2025)
RR
Washington(2/20/2025)
RR
Wisconsin(2/20/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
