KC
Kevin C. Christensen
PRINCIPAL SECURITIES
Denver, CO 80237
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CRD#: 4841377
KC
Professional summary
Kevin Corey Christensen, ChFC®, who also goes by Kevin Christensen, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Denver, Colorado.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kevin has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Christensen
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.
**Fixed Insurance; Investment Related; Denver, CO; Agent; Fixed Life, Annuity, DI, Health, LTC, Medicare Supplements, Group Products; Start Date: 09/01/2019; 2 hrs per month; 2 during trading hours. **NAIFA POSITION: Membership Committee Chair NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2024 ADDRESS: 4600 S Syracuse St, Suite 1000, Denver CO 80237, United States DESCRIPTION: Help lead NAIFA membership (joining members, leaving members etc.) in the local NAIFA chapter **CHURCH OF JESUS CHRIST OF LATTER-DAY SAINTS POSITION: High Councilor NATURE: Church position - High Council INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 08/20/2023 ADDRESS: 11755 Tara Ln, Parker CO 80134, United States DESCRIPTION: I receive assignments from the presidency of a stake, who oversees 7 local congregations. The assignments include setting up chairs for church meetings, reporting facility issues, and giving an occasional sermon.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Corey Christensen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Corey Christensen'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®
Experience
Current
September 9, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4600 S Syracuse St Ste 1000, Denver, CO 80237RIA
BD
CRD#: 1137
Denver, CO
Current
September 3, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4600 S Syracuse St Ste 1000, Denver, CO 80237RIA
BD
CRD#: 1137
Denver, CO
Past
August 20, 2013 - August 27, 2019
WADDELL & REED
RIA
CRD#: 866
CLEARFIELD, UT
Past
August 14, 2013 - August 27, 2019
WADDELL & REED
BD
CRD#: 866
CLEARFIELD, UT
Past
November 4, 2004 - August 7, 2013
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SALT LAKE CITY, UT
Past
September 6, 2004 - August 7, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SALT LAKE CITY, UT
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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(9/3/2019)
RR
Colorado(9/3/2019)
IAR
Colorado(9/9/2019)
RR
Idaho(10/13/2023)
RR
Kansas(7/31/2023)
RR
Maryland(11/26/2024)
RR
Michigan(11/19/2024)
RR
Nebraska(3/5/2020)
RR
New York(5/26/2022)
IAR
New York(5/26/2022)
RR
Oklahoma(11/30/2020)
RR
Oregon(5/15/2024)
RR
Texas(12/1/2020)
IAR
Texas(6/17/2021)
RR
Utah(9/3/2019)
RR
Wisconsin(12/1/2020)
RR
Wyoming(9/3/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
