Kristin S.w. Kano
Professional Summary
Kristin S.w. Kano, who also goes by Kristin Kano, Kristin Scott Wangerin, is a registered financial advisor currently at FIRST TRUST ADVISORS LP located in Wheaton, Illinois and FIRST TRUST PORTFOLIOS L.P. located in Wheaton, Illinois. Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Kristin has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kristin Kano, Kristin Scott Wangerin
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
FIRST TRUST ADVISORS LP
Contact Information
Main Address
120 E. Liberty Drive Suite 400, Wheaton, IL 60187Phone Number
(630) 765-8000# of Employees
542SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
6,316AUM (Assets Under Management)
$309,241,000,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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THE DALA GROUP, LLC
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Primary Firm SEC Registration
FIRST TRUST ADVISORS LP
State Registrations and Notice Filings
(8/1/2005)
(7/24/2012)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2005About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Kristin S.w. Kano's CRS (Customer Relationship Summary).
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