Kristen L. Nunes

PALLAS CAPITAL ADVISORS

Johnston, RI

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CRD#: 6254464

Professional summary

Kristen Lee Nunes, who also goes by Kristen Lee Flaminio, Kristen Lie Nunes, is a registered financial advisor currently at PALLAS CAPITAL ADVISORS, LLC located in Johnston, Rhode Island and PURSHE KAPLAN STERLING INVESTMENTS located in Braintree, Massachusetts.

Kristen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Kristen has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kristen Lee Flaminio | Kristen Lie Nunes

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) Ms. Nunes is dually-registered as an Investment Advisor Representative ("IAR") with Pallas Capital Advisors, LLC ("Pallas") and as a Registered Representative ("RR") of Purshe Kaplan Sterling Investments, Inc. ("PKS"). Ms. Nunes spends 90% of her business time with activities of Pallas and the balance with PKS. Pallas and PKS are not affiliated firms. 2) Volunteer Basketball Coach. Not Investment Related. 85 Chester Ave, Cranston RI 02920. Basketball Coach. 10/10/2023. 20 hours/month none during trading hours. Basketball coach at son's school.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristen Lee Nunes'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

October 21, 2021 - Present

PALLAS CAPITAL ADVISORS, LLC

RIA

CRD#: 310327

Johnston, RI

Current

October 9, 2023 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

CRD#: 35747

Braintree, MA

Past

January 16, 2019 - August 19, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

WARWICK, RI

Past

December 20, 2017 - August 19, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

WARWICK, RI

Past

August 18, 2015 - November 10, 2017

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

October 10, 2013 - April 23, 2015

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

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".

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 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

IAR

Rhode Island
(10/21/2021)

Rhode Island
(9/13/2023)

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: 12/28/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/19/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/10/2013

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 Approved)

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Contact information

Main Address

45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

Mailing Address

Phone number

(781) 971-5052

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PALLAS DISCLOSURE BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	3,780
AUM (Assets Under Management)	$ 3,195,166,308

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.

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Firm Stability Insights

Kristen L. Nunes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristen Lee Nunes's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

Primary Firm SEC Registration

PALLAS CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/2018

Series 63

Date: 11/19/2013

SIE

Date: 10/1/2018

Series 6

Date: 10/10/2013

FINRA

Current Firm

PALLAS CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PALLAS CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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