KM
Kristi L. Mertens
BCU WEALTH ADVISORS
Minneapolis, MN 55403
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CRD#: 4789908
KM
Professional summary
Kristi Lynn Mertens, CFP®, who also goes by Kristi Lynn Koch, is a registered financial advisor currently at BCU WEALTH ADVISORS, LLC located in Minneapolis, Minnesota and LPL FINANCIAL LLC located in Minneapolis, Minnesota.
Kristi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kristi has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristi Lynn Koch
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) 6/21/2023- BCU Wealth Advisors, LLC - DBA for LPL Business (entity for LPL business)- Inv. Related- At reported business location(s) 2) 08/03/2023 - BCU Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA- IAR - Start Date 6/30/2023 - 138 Hours Per Month/ 112 Hours During Trading - Time Spent 100% 3) 08/03/2023 - BCU Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 6/30/2023 - 138 Hours Per Month/ 112 Hours During Trading - Time Spent 100% - I provide investment advisory services through BCU Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 6/2023. I expect to spend approximately 32 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Kristi Lynn Mertens'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®
CFP®
Start date: 2009
Experience
Current
April 9, 2014 - Present
BCU WEALTH ADVISORS, LLC
Office #1: 1000 Nicollet Mall/tps-221, Minneapolis, MN 55403RIA
CRD#: 164173
Minneapolis, MN
Current
June 30, 2023 - Present
LPL FINANCIAL LLC
Office #1: 1000 Nicollet Mall/ Tps-221, Minneapolis, MN 55403Office #2: 1901 E Alton Ave, Santa Ana, CA 92705RIA
BD
CRD#: 6413
Minneapolis, MN
Past
August 10, 2012 - June 30, 2023
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
MINNEAPOLIS, MN
Past
August 2, 2012 - June 30, 2023
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
MINNEAPOLIS, MN
Past
May 12, 2004 - July 27, 2012
FINTEGRA, LLC
BD
CRD#: 16741
GLENWOOD, MN
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".
BW
BCU WEALTH ADVISORS, LLC
BCU WEALTH ADVISORS, LLC
CRD#: 164173 / SEC#: 801-81122
RIA
Registered Investment Advisory firm - (3/12/2015 Approved)California
Registered Investment Advisory firm - (4/12/2015 Terminated)Illinois
Registered Investment Advisory firm - (3/13/2015 Terminated)Louisiana
Registered Investment Advisory firm - (9/14/2015 Terminated)Minnesota
Registered Investment Advisory firm - (3/12/2015 Terminated)Texas
Registered Investment Advisory firm - (3/13/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (3/13/2015 Terminated)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(6/30/2023)
RR
California(6/30/2023)
RR
Colorado(6/30/2023)
RR
Florida(6/30/2023)
RR
Georgia(6/30/2023)
IAR
Illinois(2/5/2021)
RR
Illinois(6/30/2023)
RR
Massachusetts(6/30/2023)
RR
Michigan(10/24/2023)
IAR
Minnesota(4/9/2014)
RR
Minnesota(7/3/2023)
RR
Nevada(10/24/2023)
RR
New York(11/22/2024)
RR
North Carolina(9/20/2023)
RR
Ohio(6/30/2023)
RR
South Dakota(12/7/2023)
RR
Texas(6/30/2023)
IAR
Texas(1/2/2024)
RR
Wisconsin(6/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BW
BCU WEALTH ADVISORS, LLC
BCU WEALTH ADVISORS, LLC
CRD#: 164173 / SEC#: 801-81122
RIA
Registered Investment Advisory firm - (3/12/2015 Approved)California
Registered Investment Advisory firm - (4/12/2015 Terminated)Illinois
Registered Investment Advisory firm - (3/13/2015 Terminated)Louisiana
Registered Investment Advisory firm - (9/14/2015 Terminated)Minnesota
Registered Investment Advisory firm - (3/12/2015 Terminated)Texas
Registered Investment Advisory firm - (3/13/2015 Terminated)Wisconsin
Registered Investment Advisory firm - (3/13/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 N. Milwaukee Avenue, Vernon Hills, IL 60061
Mailing Address
Phone number
(847) 932-8007
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,899 |
| AUM (Assets Under Management) | $ 534,972,633 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
