KB
Kristin A. Brkich
CETERA INVESTMENT ADVISERS LLC
SANTA ANA, CA 92707
Some features on this profile are disabled
CRD#: 6174669
KB
Professional summary
Kristin Ann Brkich, who also goes by Kristin A Mathiesen, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Santa Ana, California and JMB FINANCIAL MANAGERS, INC. located in Santa Ana, California.
Kristin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Kristin has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristin A Mathiesen
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) NAME OF OTHER BUSINESS: JMB FINANCIAL MANAGERS ; INVESTMENT RELATED: YES ; ADDRESS: 6 HUTTON CENTRE DRIVE, SUITE 1280, SANTA ANA, CA, 92707; NATURE OF BUSINESS: FINANCIAL PLANNING ; START DATE: 10/1992 ; POSITION/TITLE/RELATIONSHIP: CORPORATE TREASURER ; APX NUMBER OF HOURS PER WEEK: 30 ; APX NUMBER OF HOURS DURING TRADING HOURS: 30 ; BRIEF DESCRIPTION OF DUTIES: APPROVED RIA FOR WRITTEN FINANCIAL PLANS ONLY ; 2) NAME OF OTHER BUSINESS: SERVITE HIGH SCHOOL; INVESTMENT RELATED: NO; ADDRESS: 1952 W. LA PALMA AVE, ANAHEIM, CA 92801; NATURE OF BUSINESS: BOARD; START DATE: 7/2025; POSITION/TITLE/RELATIONSHIP: BOARD OF DIRECTORS CHAIRPERSON; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSEE THE BOARD OF DIRECTORS ,BOARD COMMITTEE CHAIRS, & THE SCHOOL PRESIDENT, REPORT TO THE SERVITE ORDER OF PRIESTS PROVINCIAL COUNCIL;
CRS (Client Relationship Summary) - RIA
Click below to view Kristin Ann Brkich'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6 Hutton Centre Drive Ste 1280, Santa Ana, CA 92707RIA
CRD#: 105644
SANTA ANA, CA
Current
August 29, 2024 - Present
JMB FINANCIAL MANAGERS, INC.
Office #1: 6 Hutton Centre Drive Suite 1280, Santa Ana, CA 92707RIA
CRD#: 136344
SANTA ANA, CA
Current
May 4, 2017 - Present
CETERA ADVISORS LLC
Office #1: 6 Hutton Centre Drive Ste 1280, Santa Ana, CA 92707BD
CRD#: 10299
Santa Ana, CA
Past
March 23, 2018 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
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
California(7/31/2017)
IAR
California(3/21/2024)
Exams
State Security Law Exam
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
