KK
Kristen M. Kriss
CUNA BROKERAGE SERVICES
Allison, IA
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CRD#: 6743698
KK
Professional summary
Kristen M Kriss, who also goes by Kristen Marie Kriss, is a registered financial professional currently at CUNA BROKERAGE SERVICES, INC. located in Allison, Iowa.
Kristen is registered as a RR (Registered Representative) and started their career in finance in 2018. Kristen has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kristen Marie Kriss
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. 05-18-2022-7 17 Retirement & Investment Group-Investment Related- At Reported Business Location(s)- DBA for LPL Business (entity for LPL business)-
CRS (Client Relationship Summary) - BD
Click below to view Kristen M Kriss'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
October 3, 2023 - Present
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
Allison, IA
Past
May 18, 2022 - September 26, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
WARREN, OH
Past
May 18, 2022 - September 26, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
WARREN, OH
Past
March 11, 2019 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
WARREN, OH
Past
December 14, 2018 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
WARREN, OH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(10/13/2023)
RR
Alaska(10/13/2023)
RR
Arizona(10/13/2023)
RR
Arkansas(10/13/2023)
RR
California(10/13/2023)
RR
Colorado(10/13/2023)
RR
Connecticut(10/13/2023)
RR
Delaware(10/13/2023)
RR
District of Columbia(10/13/2023)
RR
Florida(10/13/2023)
RR
Georgia(10/13/2023)
RR
Hawaii(10/13/2023)
RR
Idaho(10/13/2023)
RR
Illinois(10/13/2023)
RR
Indiana(10/13/2023)
RR
Iowa(10/13/2023)
RR
Kansas(10/13/2023)
RR
Kentucky(10/13/2023)
RR
Louisiana(10/13/2023)
RR
Maine(10/13/2023)
RR
Maryland(10/13/2023)
RR
Massachusetts(10/13/2023)
RR
Michigan(10/13/2023)
RR
Minnesota(10/13/2023)
RR
Mississippi(10/13/2023)
RR
Missouri(10/13/2023)
RR
Montana(10/13/2023)
RR
Nebraska(10/13/2023)
RR
Nevada(10/13/2023)
RR
New Hampshire(10/13/2023)
RR
New Jersey(10/13/2023)
RR
New Mexico(10/13/2023)
RR
New York(10/13/2023)
RR
North Carolina(10/13/2023)
RR
North Dakota(10/13/2023)
RR
Ohio(10/3/2023)
RR
Oklahoma(10/13/2023)
RR
Oregon(10/13/2023)
RR
Pennsylvania(10/13/2023)
RR
Rhode Island(10/13/2023)
RR
South Carolina(10/13/2023)
RR
South Dakota(10/13/2023)
RR
Tennessee(10/13/2023)
RR
Texas(10/13/2023)
RR
Utah(10/13/2023)
RR
Vermont(10/13/2023)
RR
Virginia(10/13/2023)
RR
Washington(10/13/2023)
RR
West Virginia(10/13/2023)
RR
Wisconsin(10/13/2023)
RR
Wyoming(10/13/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/14/2018
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CB
CUNA BROKERAGE SERVICES, INC.
CUNA BROKERAGE SERVICES, INC. | TRUSTAGE WEALTH MANAGEMENT SOLUTIONS DBA OF CUNA BROKERAGE | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS WESTCONSIN INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS TENNESSEE VALLEY INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS SUNMARK LIFE STAGE ADVISORY | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS MECU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FIRST WEALTH ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS FINANCIALEDGE ADVISORY GROUP | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ENVISTA INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CUNA MUTUAL GROUP FINANCIAL ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS CLEARVIEW INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS BCU INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS ALEC INVESTMENT ADVISORS | CUNA BROKERAGE SERVICES, INC. DOING BUSINESS AS AAFCU INVESTMENT & RETIREMENT ADVISORS
CRD#: 13941 / SEC#: 801-60099, 8-30027
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
2000 Heritage Way, Waverly, IA 50677
Mailing Address
2000 Heritage Way, Waverly, IA 50677
Phone number
(319) 352-4090
Established
Wisconsin since 05/11/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
716
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
