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Kristine Regina Anile
Kristine Regina Slear
CRD#: 6680895
IA
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KESTRA ADVISORY SERVICES, LLCCRD#: 283330 3505 Mt. Diablo Blvd.
Lafayette, CA 94549
Lafayette, CA 94549
KESTRA INVESTMENT SERVICES, LLCCRD#: 42046 3505 Mt. Diablo Blvd.
Lafayette, CA 94549
Lafayette, CA 94549
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Disclosures
5
Years of Experience
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State Registrations
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Alabama 10/25/2022
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California 6/24/2021
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Alabama 10/25/2022
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Washington 6/24/2021
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California 6/24/2021
SRO Registrations
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Registered with this firm since 6/24/2021
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Registered with this firm since 6/24/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/03/2019 - 07/02/2021 | SAN RAMON, CA | |
B | 07/26/2019 - 07/02/2021 | SAN RAMON, CA |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.