Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristen? Claim Your ProfileKristen Richards has been in the financial services industry since October 1999. Kristen is a Registered Representative, Registered Investment Advisor, and is licensed in all 50 states. She specializes in providing investment advice, financial planning, and portfolio management to individuals, high-net-worth individuals, businesses, charitable organizations, and pension and profit-sharing plans. Kristen currently works at Rockefeller Financial LLC, where she is a member of their Private Client Group. Previously, Kristen was with Morgan Stanley Smith Barney and Citigroup Global Markets Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
NC
02/08/2024 - Present
Rockefeller Financial LLC (Charlotte NC)
NC
06/01/2009 - 02/14/2024
MORGAN STANLEY (Charlotte NC)
NC
10/18/1999 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
IA
Issued 10/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/2016
Series 31 - Futures Managed Funds Examination
BC
Issued 10/15/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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