Kristen E. Dealy

SANTA BARBARA MANAGEMENT

CHICAGO, IL 60601

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CRD#: 6325076

Professional summary

Kristen Elizabeth Dealy, CFP® is a registered financial advisor currently at SANTA BARBARA MANAGEMENT located in Chicago, Illinois.

Kristen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Kristen has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Always Fiduciary

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 Kristen Elizabeth Dealy'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®

CFP^®

Certified Financial Planner

Experience

Current

May 28, 2026 - Present

SANTA BARBARA MANAGEMENT

Office #1: 222 N. Lasalle Street Suite 625, Chicago, IL 60601

RIA

CRD#: 334801

CHICAGO, IL

Past

March 24, 2021 - July 9, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHICAGO, IL

Past

March 24, 2021 - July 9, 2026

LPL FINANCIAL LLC

CRD#: 6413

CHICAGO, IL

Past

February 12, 2019 - March 24, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

CHICAGO, IL

Past

February 12, 2019 - March 24, 2021

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

CHICAGO, IL

Past

June 20, 2014 - January 25, 2019

MORGAN STANLEY

RIA

CRD#: 149777

CHICAGO, IL

Past

May 22, 2014 - January 25, 2019

MORGAN STANLEY

CRD#: 149777

CHICAGO, 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".

SANTA BARBARA MANAGEMENT

SANTA BARBARA MANAGEMENT | SANTA BARBARA MGMT, LLC

CRD#: 334801 / SEC#: 801-132201

RIA

Registered Investment Advisory firm - (3/17/2025 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(5/28/2026)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/20/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/2014

General Securities Representative Examination

Current Firm

SANTA BARBARA MANAGEMENT

SANTA BARBARA MANAGEMENT | SANTA BARBARA MGMT, LLC

CRD#: 334801 / SEC#: 801-132201

RIA

Registered Investment Advisory firm - (3/17/2025 Approved)

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Contact information

Main Address

10 E. Ohio St. 2nd Floor, Chicago, IL 60611

Mailing Address

Phone number

(734) 604-9891

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SBM ADV PART 2A (9/15/2025)

Regulatory assets under management

Total Number of Accounts	154
AUM (Assets Under Management)	$ 259,160,014

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 E. Dealy

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristen Elizabeth Dealy's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

SANTA BARBARA MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 6/20/2014

SIE

Date: 10/1/2018

Series 7

Date: 5/22/2014

Current Firm

SANTA BARBARA MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SANTA BARBARA MANAGEMENT

TRUST BUT VERIFY

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