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KC

Kristen L. Cockroft

SAGEVIEW ADVISORY GROUP
Pike Road, AL
CRD#: 5478393
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KC
Kristen L CockroftSAGEVIEW ADVISORY GROUP

Professional summary

Kristen L Cockroft, who also goes by Kristen Cockroft, Kristen L Hayes Miss, is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Pike Road, Alabama.

Kristen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Kristen has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kristen Cockroft | Kristen L Hayes Miss

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristen L Cockroft'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

April 24, 2024 - Present

SAGEVIEW ADVISORY GROUP, LLC

RIA
CRD#: 126777
Pike Road, AL
Past

April 4, 2022 - September 22, 2023

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

March 31, 2008 - April 4, 2022

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ

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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA
Registered Investment Advisory firm - (5/31/2005 Approved)
California
Registered Investment Advisory firm - (6/7/2005 Terminated)

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
Alabama
(4/24/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/24/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/18/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/28/2008
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA
Registered Investment Advisory firm - (5/31/2005 Approved)
California
Registered Investment Advisory firm - (6/7/2005 Terminated)
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Contact information

Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SAGEVIEW ADVISORY GROUP ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts13,295
AUM (Assets Under Management)$ 238,552,018,915

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

SAGEVIEW ADVISORY GROUP, LLC

CRD#: 126777Pike Road, AL

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