KA
Kristina A. Alfini
DRAKE & ASSOCIATES
WAUKESHA, WI 53186
Some features on this profile are disabled
CRD#: 6984347
KA
Professional summary
Kristina Amelia Alfini, who also goes by Tina Amelia Alfini, Kristina Amelia Mundschau, Tina Amelia Mundschau, is a registered financial advisor currently at DRAKE & ASSOCIATES, LLC located in Waukesha, Wisconsin.
Kristina is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Kristina has worked at 3 firms and has passed the Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tina Amelia Alfini | Kristina Amelia Mundschau | Tina Amelia Mundschau
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)Adventure Rock, non-investment related, 21250 W Capital Dr, Brookfield, WI. Yoga Instructure, April 2022, 0 hours up to 4-6. (2) Loft Financial Advisory Group, LLC; investment related: Yes; Location of the business: 20965 Crossroads Circle, Waukesha, WI 53186; Description of the business: Licensed insurance agent in the state of Wisconsin.; Position Title: Insurance Agent; Responsibilities Duties: Offer clients advice or insurance products.; Start date with business: 03/25/2019; Hours devoted to business during trading hours: 4; Hours devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 40.
CRS (Client Relationship Summary) - RIA
Click below to view Kristina Amelia Alfini'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 22, 2024 - Present
DRAKE & ASSOCIATES, LLC
Office #1: 20965 Crossroads Circle, Waukesha, WI 53186RIA
CRD#: 154854
WAUKESHA, WI
Past
October 14, 2019 - March 6, 2024
ELLENBECKER INVESTMENT GROUP
RIA
CRD#: 173851
WAUKESHA, WI
Past
September 28, 2018 - October 25, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Milwaukee, WI
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".
D&
DRAKE & ASSOCIATES, LLC
DRAKE & ASSOCIATES, LLC | DRAKE WEALTH MANAGEMENT, LLC | DRAKE INVESTMENTS, LLC
CRD#: 154854 / SEC#: 801-115301
RIA
Registered Investment Advisory firm - (5/16/2019 Approved)Michigan
Registered Investment Advisory firm - (12/3/2018 Terminated)Texas
Registered Investment Advisory firm - (5/20/2019 Terminated)Wisconsin
Registered Investment Advisory firm - (5/20/2019 Terminated)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
Wisconsin(3/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
D&
DRAKE & ASSOCIATES, LLC
DRAKE & ASSOCIATES, LLC | DRAKE WEALTH MANAGEMENT, LLC | DRAKE INVESTMENTS, LLC
CRD#: 154854 / SEC#: 801-115301
RIA
Registered Investment Advisory firm - (5/16/2019 Approved)Michigan
Registered Investment Advisory firm - (12/3/2018 Terminated)Texas
Registered Investment Advisory firm - (5/20/2019 Terminated)Wisconsin
Registered Investment Advisory firm - (5/20/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
20965 Crossroads Circle, Waukesha, WI 53186
Mailing Address
Phone number
(414) 409-7226
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,611 |
| AUM (Assets Under Management) | $ 418,750,691 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
