KE
Kristen M. Echols
WEALTHSPIRE RETIREMENT ADVISORY
Denver, CO 80222
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CRD#: 7318567
KE
Professional summary
Kristen Mansfield Echols is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Denver, Colorado.
Kristen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Kristen has worked at 5 firms and has passed the Series 66, SIE and Series 7TO exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
BKE, LLC; Denver, CO; not investment related; Owner of rental property; start date 10.19.22; 2 hours per month/0 hours during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Kristen Mansfield Echols'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
August 30, 2023 - Present
WEALTHSPIRE RETIREMENT ADVISORY
Office #1: 2000 South Colorado Blvd. Tower One Suite 9000, Denver, CO 80222RIA
CRD#: 121254
Denver, CO
Past
July 12, 2023 - July 19, 2023
BERGANKDV WEALTH MANAGEMENT, LLC
RIA
CRD#: 143038
Denver, CO
Past
December 17, 2021 - July 19, 2023
CREATIVE PLANNING
RIA
CRD#: 105348
Denver, CO
Past
March 30, 2021 - December 31, 2021
LOCKTON INVESTMENT ADVISORS, LLC
RIA
CRD#: 144133
Denver, CO
Past
March 30, 2021 - December 14, 2021
LOCKTON INVESTMENT SECURITIES, LLC
BD
CRD#: 137476
DENVER, CO
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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 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
Colorado(8/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/23/2021
General Securities Representative ExaminationCurrent Firm
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,394 |
| AUM (Assets Under Management) | $ 118,031,461,765 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
