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KP

Kristin V. Prentice

CETERA INVESTMENT ADVISERS LLC
Atlanta, GA 30339
Some features on this profile are disabled
CRD#: 5133646
KP

Professional summary

Kristin Vesia Prentice, who also goes by Kristin Denise Vesia, Kristin Vesia, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Atlanta, Georgia and CETERA INVESTMENT SERVICES LLC located in Atlanta, Georgia.

Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Kristin has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kristin Denise Vesia | Kristin Vesia

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. Promising Pages, non-profit organization, Board Member, no compensation, 1 hour per week, non-investment related 2. SCARF & BLAZER, LLC, APPAREL COMPANY, MANAGES FINANCIALS, DESIGNS, TESTING, BUSINESS DEVLOPMENT, CUSTOMER SERVICE, MARKETING, AND OPERATIONS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristin Vesia Prentice's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 12, 2019 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339
RIA
CRD#: 105644
Atlanta, GA
Current

November 12, 2019 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339
BD
CRD#: 15340
Atlanta, GA
Past

December 4, 2018 - November 15, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
CHARLOTTE, NC
Past

December 3, 2018 - November 15, 2019

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Charlotte, NC
Past

February 6, 2017 - August 28, 2018

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
CHARLOTTE, NC
Past

February 6, 2017 - August 28, 2018

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
CHARLOTTE, NC
Past

May 2, 2011 - January 5, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHARLOTTE, NC
Past

May 24, 2010 - January 5, 2017

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLOTTE, NC

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
Colorado
(1/12/2022)
RR
Connecticut
(11/26/2019)
RR
Georgia
(2/26/2024)
IAR
Georgia
(2/29/2024)
RR
New Jersey
(11/26/2019)
RR
New York
(2/6/2025)
RR
North Carolina
(11/12/2019)
IAR
North Carolina
(11/12/2019)
RR
South Carolina
(1/3/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/29/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/28/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/24/2024
General Securities Principal Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644Atlanta, GA 30339

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