Cristen Hale

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CRD#: 6815877

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Cristen Hale, who also goes by Cristen M Hale, Cristen Marie Hale, was a registered financial professional .

Cristen is a previously registered financial professional and started their career in finance in 2019. Cristen had worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cristen M Hale | Cristen Marie Hale

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 17, 2020 - November 9, 2021

LARSON FINANCIAL GROUP, LLC

RIA

CRD#: 140599

Indianapolis, IN

Past

January 17, 2020 - November 9, 2021

LARSON FINANCIAL SECURITIES, LLC

CRD#: 152517

SAINT LOUIS, MO

Past

March 4, 2019 - November 14, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Indianapolis, IN

Past

February 1, 2019 - November 14, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Indianapolis, IN

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".

LARSON FINANCIAL GROUP, LLC

CRD#: 140599 / SEC#: 801-71543

RIA

Registered Investment Advisory firm - (6/23/2010 Approved)

Florida

Registered Investment Advisory firm - (6/30/2010 Terminated)

Indiana

Registered Investment Advisory firm - (6/30/2010 Terminated)

Kansas

Registered Investment Advisory firm - (6/30/2010 Terminated)

Kentucky

Registered Investment Advisory firm - (6/30/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (7/1/2010 Terminated)

Missouri

Registered Investment Advisory firm - (6/30/2010 Terminated)

Ohio

Registered Investment Advisory firm - (6/30/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (7/30/2010 Terminated)

Texas

Registered Investment Advisory firm - (6/30/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/30/2010 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/4/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/1/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 11/19/2018

Securities Industry Essentials Examination

Current Firm

LARSON FINANCIAL GROUP, LLC

CRD#: 140599 / SEC#: 801-71543

RIA

Registered Investment Advisory firm - (6/23/2010 Approved)

Florida

Registered Investment Advisory firm - (6/30/2010 Terminated)

Indiana

Registered Investment Advisory firm - (6/30/2010 Terminated)

Kansas

Registered Investment Advisory firm - (6/30/2010 Terminated)

Kentucky

Registered Investment Advisory firm - (6/30/2010 Terminated)

Minnesota

Registered Investment Advisory firm - (7/1/2010 Terminated)

Missouri

Registered Investment Advisory firm - (6/30/2010 Terminated)

Ohio

Registered Investment Advisory firm - (6/30/2010 Terminated)

Tennessee

Registered Investment Advisory firm - (7/30/2010 Terminated)

Texas

Registered Investment Advisory firm - (6/30/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/30/2010 Terminated)

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Contact information

Main Address

100 N Broadway Suite 1700, Saint Louis, MO 63102

Mailing Address

Phone number

(866) 569-2450

Established

Firm type

Fiscal year end

# of Employees

115

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025.03.21 LFG FIRM BROCHURE_ FORM ADV 2A (3/21/2025)

PART 2A- APPENDIX 1- WRAP FEE PROGRAM BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	24,504
AUM (Assets Under Management)	$ 4,032,736,835

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/08/2024	Cover Page	Report
12/13/2023	Cover Page	Report
01/03/2023	Cover Page	Report

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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Cristen Hale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LARSON FINANCIAL GROUP, LLC

LARSON FINANCIAL SECURITIES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

LARSON FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2019

Series 7TO

Date: 2/1/2019

SIE

Date: 11/19/2018

Current Firm

LARSON FINANCIAL GROUP, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

LARSON FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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