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Detailed Report
KRISTINE DUWAR CHAZE
KRIS DUWAR, KRISTINE DUWAR
CRD#: 2166658
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Investment Adviser
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Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 4000 LEGATO ROAD
8TH FLOOR
FAIRFAX, VA 22033
Registration History
1995200020052010201520202025IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2018 - Present (6 years)BEF LEGACY SECURITIES, LLC (CRD# 269923)2016 - 2018 (2 years)BSANDERS MORRIS HARRIS LLC (CRD# 20580)2005 - 2016 (10 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1997 - 2005 (8 years)BWORLD INVEST CORPORATION (CRD# 17223)1994 - 1997 (3 years)IAEDELMAN FINANCIAL SERVICES, LLC (CRD# 113299)1998 - 2018 (20 years)
License(s)

State Registrations

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Texas 11/1/2018
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Virginia 11/1/2018
Current Registration(s)
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EDELMAN FINANCIAL ENGINES (CRD#:104510)
4000 LEGATO ROAD 8TH FLOOR, FAIRFAX, VA 22033
Registered with this firm since 11/1/2018
Previous Registration(s)
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 10/06/1998 - 11/01/2018 EDELMAN FINANCIAL SERVICES, LLC (CRD#:113299) FAIRFAX, VA
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 04/22/2016 - 10/31/2018 EF LEGACY SECURITIES, LLC (CRD#:269923) FAIRFAX, VA
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 12/09/2005 - 04/22/2016 SANDERS MORRIS HARRIS LLC (CRD#:20580) FAIRFAX, VA
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 05/08/1997 - 12/08/2005 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
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 04/28/1994 - 05/12/1997 WORLD INVEST CORPORATION (CRD#:17223) DEERFIELD BEACH, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.