Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kristi? Claim Your ProfileKristi Dawn Chapman is a financial advisor registered with Wells Fargo Clearing Services, LLC. Kristi has been in the financial services industry since February 11, 2019. Kristi is a registered investment advisor representative in Utah and has a Series 7 and Series 66 license. She also holds a Securities Industry Essentials Examination (SIE). Kristi has been with Wells Fargo Clearing Services, LLC since October 4, 2017 and is based in Tarpon Springs, Florida. Kristi is actively engaged in providing investment consulting services to institutional clients and focuses on financial planning, pension consulting, and portfolio management for individuals and businesses. In addition to Kristi's professional experience, she also owns a rental property in Salt Lake City, Utah.
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.
1
2
FL
04/21/2020 - Present
Wells Fargo Clearing Services, LLC (TARPON SPRINGS FL)
UT
10/04/2017 - 12/11/2018
WELLS FARGO CLEARING SERVICES, LLC (SALT LAKE CITY UT)
BOTH
Issued 11/01/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2017
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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