Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristen? Claim Your ProfileKristen Flocken is a financial advisor with over 17 years of experience in the financial services industry. Kristen is registered with Wells Fargo Clearing Services, LLC and is licensed to provide investment advice and sell securities in North Carolina and Ohio. Kristen has previously worked with Morgan Stanley and Citigroup Global Markets Inc. Kristen is committed to providing her clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NC
03/06/2018 - Present
Wells Fargo Clearing Services, LLC (DAVIDSON NC)
TX
05/05/2011 - 02/22/2018
MORGAN STANLEY (AUSTIN TX)
VA
06/01/2009 - 09/04/2009
MORGAN STANLEY SMITH BARNEY (MCLEAN VA)
VA
06/17/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MCLEAN VA)
NY
05/16/2003 - 06/22/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 06/17/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/01/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/19/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2015
Series 3 - National Commodity Futures Examination
BC
Issued 08/05/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 05/14/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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