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KE

Kristen N. Elsmore

FINANCIAL CONCEPTS
COLUMBUS, MS 39701
Some features on this profile are disabled
CRD#: 7641872
KE

Professional summary

Kristen Nicole Elsmore, who also goes by Kristen Nicole Cockrell, is a registered financial advisor currently at FINANCIAL CONCEPTS located in Columbus, Mississippi.

Kristen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Kristen has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kristen Nicole Cockrell

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 Nicole Elsmore'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®
None

Experience

Current

May 2, 2024 - Present

FINANCIAL CONCEPTS

Office #1: 2980 North Frontage Road, Columbus, MS 39701
RIA
CRD#: 157616
COLUMBUS, MS

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".
FC
FINANCIAL CONCEPTS
FINANCIAL CONCEPTS | GIRAFFES, INC. DBA FINANCIAL CONCEPTS | GIRAFFES, INC.

CRD#: 157616 / SEC#: 801-72394

RIA
Registered Investment Advisory firm - (5/27/2011 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
Mississippi
(5/2/2024)
IAR
Texas
(6/10/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/2/2024
Uniform Investment Adviser Law Examination

Current Firm

FC
FINANCIAL CONCEPTS
FINANCIAL CONCEPTS | GIRAFFES, INC. DBA FINANCIAL CONCEPTS | GIRAFFES, INC.

CRD#: 157616 / SEC#: 801-72394

RIA
Registered Investment Advisory firm - (5/27/2011 Approved)
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Contact information

Main Address
2980 North Frontage Road, Columbus, MS 39701
Mailing Address
Po Box 3, Columbus, MS 39703
Phone number
(662) 327-1480
Established
Firm type
Fiscal year end
# of Employees
14

SEC notice filing (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FINANCIAL CONCEPTS ADV BROCHURE PART 2A (5/2/2025)

Regulatory assets under management

Total Number of Accounts5,341
AUM (Assets Under Management)$ 890,016,414

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.

Company Information

FINANCIAL CONCEPTS

CRD#: 157616Columbus, MS 39701

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