Kristin N. Thompson
CETERA INVESTMENT ADVISERS LLC
ST LOUIS, MO 63110
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CRD#: 5958695
Professional summary
Kristin Nicole Thompson, CFP®, who also goes by Kristin Nicole Poelker, Kristin Nicole Thompson, Kristin Thompson, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in St Louis, Missouri and CETERA WEALTH SERVICES, LLC located in St. Louis, Missouri.
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 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristin Nicole Poelker | Kristin Nicole Thompson | Kristin Thompson
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.
1) CO-OP INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2012 ADDRESS: , St. Louis MO , United States DESCRIPTION: Agent/Broker 2) R.F. BROKERAGE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2011 ADDRESS: , St. Louis MO , United States DESCRIPTION: Agent/Broker 3) REGIONAL BUSINESS COUNCIL YOUNG PROFESSIONALS POSITION: Member NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2013 ADDRESS: , St Louis MO , United States DESCRIPTION: Member 4) MISSOURI BOTANICAL GARDEN SUBDISTRICT COMMITTEE POSITION: Member NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2020 ADDRESS: 4344 Shaw Blvd.,, Saint Louis MO 63110, United States DESCRIPTION: Community involvement organization to protect and maintain the local botanical gardens 5) PERSONAL FINANCIAL PLANNING ADVISORY BOARD POSITION: Advisory Board NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 135 Mumford Hall, Columbia MO 65211, United States DESCRIPTION: Board member of the Personal Financial Planning advisor Board 6) KWAME BUILDING GROUP POSITION: Advisory Board NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 1204 Washington Avenue, Suite 200, St. Louis MO 63103, United States DESCRIPTION: KWAME Building Group is recognized as a preeminent Construction Management firm. As a board member, my role is to review operations, budget, projections on growth and serve as an advisory role to the business. 7) FOREST PARK FOREVER POSITION: Director NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 5595 Grand Dr, Saint Louis MO 63112, United States DESCRIPTION: Forest Park Forever is a private nonprofit conservancy that works in partnership with the City of St. Louis and the Department of Parks, Recreation and Forestry to restore, maintain and sustain Forest Park, as one of America's great urban public parks for a diverse community of visitors to enjoy, now and forever.
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Nicole Thompson'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®
CFP®
Start date: 2017
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5700 Oakland Ave Ste 400, St Louis, MO 63110RIA
CRD#: 105644
ST LOUIS, MO
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5700 Oakland Avenue Suite 400, St. Louis, MO 63110BD
CRD#: 13572
St. Louis, MO
Past
November 7, 2011 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
ST. LOUIS, MO
Past
September 22, 2011 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. LOUIS, MO
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Arizona(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Connecticut(9/27/2023)
RR
District of Columbia(8/10/2023)
RR
Florida(8/11/2023)
RR
Georgia(8/10/2023)
RR
Illinois(8/10/2023)
RR
Indiana(3/28/2025)
RR
Kansas(8/10/2023)
RR
Louisiana(8/10/2023)
RR
Maryland(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(9/27/2023)
RR
Missouri(8/10/2023)
IAR
Missouri(8/10/2023)
RR
Nebraska(8/10/2023)
RR
New Jersey(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
Ohio(8/10/2023)
RR
Oklahoma(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
Tennessee(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Virginia(8/10/2023)
RR
Washington(8/10/2023)
RR
Wisconsin(8/10/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
