Kristian L. Finfrock

RETIREMENTOME STRATEGIES

Evansville, WI 53536

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CRD#: 5421676

Professional summary

Kristian L Finfrock, who also goes by Kristian Finfrock, is a registered financial advisor currently at RETIREMENT INCOME STRATEGIES, LLC located in Evansville, Wisconsin.

Kristian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Kristian has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kristian Finfrock

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.

RETIREMENT INCOME STRATEGIES POSITION: FINANCIAL ADVISOR, INVESTMENT ADVISOR REPRESENTATIVE NATURE: RETIREMENT INCOME STRATEGIESHELPS CREATE SOUND RETIREMENT INCOME STRATEGIES FOR PEOPLE IN OR NEARING RETIREMENT. INVESTMENT RELATED: YES NUMBER OF HOURS: 160 INVESTMENT RELATED HOURS: 120 START DATE: 01/01/2014 ADDRESS: 7 E. MAIN STREET, SUITE 6, EVANSVILLE WI 53536 DESCRIPTION: MEET WITH CLIENTS TO REVIEW ACCOUNTS, ACT AS A FIDUCIARY FOR MY CLIENTS, KEEP UP TO DATE WITH ALL COMPLIANCE REQUIREMENTS. financial educational course instructor for Retirement Elevated and Retirement Planning Today MADISON MONEY GUY INC POSITION: Officer NATURE: Marketing INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 0 START DATE: 11/08/2016 ADDRESS: 7 E Main Street Ste 6, Evansville WI 53536, United States DESCRIPTION: Marketing

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristian L Finfrock'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

May 16, 2022 - Present

RETIREMENT INCOME STRATEGIES, LLC

Office #1: 7 East Main Street Suite 6, Evansville, WI 53536

RIA

CRD#: 318052

Evansville, WI

Past

March 8, 2012 - July 11, 2022

KALOS MANAGEMENT

RIA

CRD#: 133025

EVANSVILLE, WI

Past

March 8, 2012 - July 11, 2022

KALOS CAPITAL, INC.

CRD#: 44337

EVANSVILLE, WI

Past

July 23, 2008 - March 9, 2012

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

JANESVILLE, WI

Past

October 16, 2007 - March 9, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

JANESVILLE, WI

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".

RETIREMENT INCOME STRATEGIES, LLC

CRD#: 318052 / SEC#: 801-123370

RIA

Registered Investment Advisory firm - (3/8/2022 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(7/25/2022)

IAR

Wisconsin
(1/15/2025)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/23/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/5/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/28/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RETIREMENT INCOME STRATEGIES, LLC

CRD#: 318052 / SEC#: 801-123370

RIA

Registered Investment Advisory firm - (3/8/2022 Approved)

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Contact information

Main Address

7 East Main Street Suite 6, Evansville, WI 53536

Mailing Address

Phone number

(608) 208-1800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A, APPENDIX 1 - MAR 2025 (3/3/2025)

ADV PART 2A - NON-WRAP BROCHURE MAR 2025 (3/3/2025)

Regulatory assets under management

Total Number of Accounts	937
AUM (Assets Under Management)	$ 154,605,491

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.

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Firm Stability Insights

Kristian L. Finfrock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristian L Finfrock's CRS (Customer Relationship Summary).

Certified licenses

Experience

KALOS MANAGEMENT

KALOS CAPITAL, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

RETIREMENT INCOME STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/23/2008

Series 63

Date: 10/5/2007

SIE

Date: 10/1/2018

Series 7

Date: 5/22/2013

Series 6

Date: 9/28/2007

Current Firm

RETIREMENT INCOME STRATEGIES, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RETIREMENT INCOME STRATEGIES, LLC

TRUST BUT VERIFY

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