Kristin M. Rahn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kristin Marie Rahn, who also goes by Kristin M Baker, Kristin Marie Baker, was a registered financial professional .
Kristin is a previously registered financial professional and started their career in finance in 2010. Kristin had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2018 - September 20, 2019
KESTRA INVESTMENT SERVICES, LLC
November 20, 2018 - September 20, 2019
KESTRA ADVISORY SERVICES, LLC
April 19, 2016 - May 31, 2017
KESTRA ADVISORY SERVICES, LLC
September 12, 2012 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
September 12, 2012 - May 31, 2017
KESTRA INVESTMENT SERVICES, LLC
December 10, 2010 - May 24, 2012
ALLIANCEBERNSTEIN L.P.
December 10, 2010 - May 24, 2012
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 21, 2010 - November 29, 2010
NRP ADVISORS, INC.
June 21, 2010 - November 29, 2010
NRP FINANCIAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
