Kristin A. Josephs

SEI INVESTMENTS MANAGEMENT

OAKS, PA 19456

CRD#: 5848619

Some features on this profile are disabled

Professional summary

Kristin Anne Josephs is a registered financial advisor currently at SEI INVESTMENTS MANAGEMENT CORP located in Oaks, Pennsylvania and SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.

Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Kristin has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Kristin Anne Josephs'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

July 30, 2014 - Present

SEI INVESTMENTS MANAGEMENT CORP

Office #1: One Freedom Valley Drive, Oaks, PA 19456

RIA

CRD#: 105146

OAKS, PA

Current

July 30, 2014 - Present

SEI INVESTMENTS DISTRIBUTION CO.

Office #1: One Freedom Valley Drive, Oaks, PA 19456

CRD#: 10690

OAKS, PA

Past

February 26, 2014 - July 10, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BRIDGEWATER, NJ

Past

February 15, 2011 - July 9, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

BRIDGEWATER, 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".

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146 / SEC#: 801-24593

RIA

Registered Investment Advisory firm - (6/27/1985 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.

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

Pennsylvania
(7/30/2014)

IAR

Pennsylvania
(7/30/2014)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/16/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/18/2011

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: 2/14/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 5/21/2014

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146 / SEC#: 801-24593

RIA

Registered Investment Advisory firm - (6/27/1985 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Freedom Valley Drive, Oaks, PA 19456

Mailing Address

Phone number

(610) 676-1000

Established

Firm type

Fiscal year end

# of Employees

447

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIMC FORM ADV PART 2A - INDEPENDENT ADVISOR SOLUTIONS BY SEI (2/2/2026)

SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (INDEPENDENT ADVISOR SOLUTIONS BY SEI) (12/22/2025)

SIMC FORM ADV PART 2A - SEI PRIVATE WEALTH MANAGEMENT (10/31/2025)

SIMC FORM ADV PART 2A - SEI INSTITUTIONAL GROUP (10/31/2025)

SIMC FORM ADV PART 2A - SEI PRIVATE BANKING (10/31/2025)

SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (PRIVATE WEALTH MANAGEMENT) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	99,603
AUM (Assets Under Management)	$ 198,143,431,156

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/25/2023	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.

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kristin A. Josephs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristin Anne Josephs's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEI INVESTMENTS DISTRIBUTION CO.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

SEI INVESTMENTS MANAGEMENT CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/2013

Series 63

Date: 7/18/2011

SIE

Date: 10/1/2018

Series 7

Date: 2/14/2011

Series 9

Date: 5/21/2014

FINRA

Current Firm

SEI INVESTMENTS MANAGEMENT CORP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SEI INVESTMENTS MANAGEMENT CORP

TRUST BUT VERIFY

Similar Advisors