KM
Kristin A. Merrick
KESTRA ADVISORY SERVICES
RIDGEWOOD, NJ
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CRD#: 5663012
KM
Professional summary
Kristin Angela Merrick, who also goes by Kristin Angela Merrick, Kristin O Merrick, Kristin Angela O'keefe, Kristin Angela O'keeffe, Kristin Okeeffe, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Ridgewood, New Jersey and KESTRA INVESTMENT SERVICES, LLC located in Fairfield, New Jersey.
Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Kristin has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristin Angela Merrick | Kristin O Merrick | Kristin Angela O'keefe | Kristin Angela O'keeffe | Kristin Okeeffe
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.
Busi Name: Kristin Merrick LLC Investment Related: No Address: 437 UPPER BLVD RIDGEWOOD NJ 07450 Nature of Business: Consulting Position, Title or Relationship: Money Expert Start Date: 1/4/2017 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Creating plans for people who need to get out of debt; creating savings plans or budgets for people who want to get their spending under control; speaking to groups of people (in person or virutally) about money; writing in publications about personal finance; speaking on television (this is rarely paid) Busi Name: Associated Life Brokerage, Inc; Capitas Financial, Inc Investment Related: Yes Address: 1170 US Highway 22, Suite 308 Bridgewater NJ 08807 Nature of Business: Insurance Position, Title or Relationship: I receive 1099 income from them when I sell an insurance policy Start Date: 3/31/2016 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: selling life/LTC/disability insurnce to clients and they are my wholesaler Business Name: Ridgewood YMCA Investment Related: No Address: 112 Oak Street RIDGEWOOD NJ 07450 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Director on Board of Directors of YMCA Start Date: 6/13/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: monthly board meetings; talking to people in the community about becoming more engaged in the YMCA Busi Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2 Ste. 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Financial Advisor Start Date: 10/14/2020 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Financial planning and investment mgmt Busi Name: O'Keeffe Financial Partners, LLC Investment Related: Yes Address: 100 Passaic Ave, Suite 100A Fairfield NJ 07004 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Financial Advisor Start Date: 9/7/2015 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: advising clients on investments and acting as their financial planner Busi Name: Women Work F#cking Hard Investment Related: No Address: 437 UPPER BLVD RIDGEWOOD NJ 07450 Nature of Business: Other Other/None of the Above Host parties, update website, do interviews/podcasts to share our message Position, Title or Relationship: Co-Founder Start Date: 2/13/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Hosting a few parties a year; keeping up our website; webinars to connect women with resources; possibly a podcast in the future (not developed yet) HOUSE OF PUFF POSITION: advisory board member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 02/07/2022 ADDRESS: 1412 Broadway, New York NY 10018, United States DESCRIPTION: 1) helping them create a strategic plan to grow business 2) helping them navigate fundraising and business decisions 3) giving insight on product development 4) grow business via fundraising efforts
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Angela Merrick's 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®
NoneExperience
Current
October 15, 2020 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 100 Passaic Ave, Fairfield, NJ 07004RIA
CRD#: 283330
RIDGEWOOD, NJ
Current
October 14, 2020 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 100 Passaic Ave, Fairfield, NJ 07004BD
CRD#: 42046
Fairfield, NJ
Past
January 7, 2016 - October 15, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
FAIRFIELD, NJ
Past
September 28, 2015 - October 15, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
FAIRFIELD, NJ
Past
October 20, 2009 - December 31, 2010
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
NEW YORK, NY
Past
August 25, 2009 - April 8, 2015
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
June 19, 2009 - July 8, 2009
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
BD
CRD#: 130847
NEW YORK, NY
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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
California(10/14/2020)
RR
Connecticut(10/14/2020)
RR
District of Columbia(10/14/2020)
RR
Florida(10/14/2020)
RR
Indiana(10/13/2023)
RR
Maryland(10/14/2020)
RR
Massachusetts(10/14/2020)
RR
Minnesota(7/22/2025)
RR
New Jersey(10/14/2020)
IAR
New Jersey(10/15/2020)
RR
New York(10/14/2020)
RR
North Carolina(10/19/2020)
RR
Ohio(10/14/2020)
RR
Pennsylvania(10/14/2020)
RR
Rhode Island(10/14/2020)
RR
Tennessee(10/14/2020)
RR
Texas(11/8/2022)
IAR
Texas(7/27/2023)
RR
Vermont(4/11/2023)
RR
Washington(7/22/2025)
RR
Wisconsin(1/16/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
