Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristen? Claim Your ProfileKristen Helene Buxton is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. Kristen has been in the financial services industry since 1997 and has held positions with American Express Financial Advisors Inc., IDS Life Insurance Company, UBS Financial Services Inc., Morgan Stanley and now Merrill Lynch. Kristen holds a Series 7, Series 31, Series 63 and Series 65 license. Kristen has an active FINRA and SEC registration. Kristen specializes in portfolio management, business financial planning and provides performance measurement reports, allocation modeling, IPS, research reports and services. Kristen also provides pension consulting, educational seminars, selection of other advisors and portfolio management for businesses and individuals.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
WA
10/07/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BELLEVUE WA)
WA
03/11/2011 - 10/21/2016
MORGAN STANLEY (BELLEVUE WA)
WA
08/06/2003 - 03/21/2011
UBS FINANCIAL SERVICES INC. (BELLEVUE WA)
NY
07/02/1999 - 07/01/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MN
06/30/1997 - 07/02/1999
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
06/30/1997 - 07/02/1999
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 7/28/1997
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 7/22/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/7/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 6/27/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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