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Detailed Report
KRISTIN HELTNE KENDALL
KRISTIN HELTNE BOCK, KRISTINE HELTNE BOCK, KRISTIN HELTNE
CRD#: 715902
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2 THEATRE SQ STE 210
ORINDA, CA 94563
Registration History
19801985199019952000200520102015202020252 FIRMS2002 - 2008 (6 years)2 FIRMS2008 - Present (16 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 2002 (9 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1991 - 1992 (1 year)BMONARCH SECURITIES, INC. (CRD# 2809)1988 - 1991 (2 years)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1986 - 1988 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1983 - 1986 (3 years)BSECURITY FIRST FINANCIAL, INC. (CRD# 6695)1980 - 1982 (2 years)IAMERRILL LYNCH PIERCE FENNER & ... (CRD# 7691)2000 - 2002 (2 years)
Disclosure(s)
View By:
6/18/1992
Customer Dispute
Settled
12/9/1983
Criminal
Final Disposition
License(s)

State Registrations

B
Alaska 2/27/2023
B
Mississippi 1/22/2024
B
Arizona 5/16/2008
B
Missouri 5/11/2016
B
California 5/16/2008
B
Nevada 5/16/2008
IA
California 5/16/2008
B
New Hampshire 5/13/2015
B
Colorado 5/16/2008
B
New Jersey 2/15/2023
B
District of Columbia 5/16/2008
B
Oregon 5/16/2008
B
Florida 1/10/2022
B
South Carolina 2/15/2023
B
Georgia 5/16/2008
B
Tennessee 5/16/2008
B
Hawaii 2/15/2023
B
Texas 5/16/2008
B
Idaho 5/16/2008
IA
Texas 5/16/2008
B
Illinois 5/11/2023
B
Utah 1/3/2018
B
Indiana 2/14/2012
B
Virginia 9/12/2012
B
Louisiana 1/20/2022
B
Washington 5/16/2008
B
Minnesota 2/23/2023
B
Wisconsin 2/16/2023

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
2 THEATRE SQ STE 210, ORINDA, CA 94563
Registered with this firm since 5/16/2008
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2 THEATRE SQ STE 210, ORINDA, CA 94563
Registered with this firm since 5/16/2008
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/06/2002 - 06/12/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) WALNUT CREEK, CA
B
 06/06/2002 - 06/12/2008 UBS FINANCIAL SERVICES INC. (CRD#:8174) WALNUT CREEK, CA
IA
 01/12/2000 - 06/07/2002 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) WALNUT CREEK, CA
B
 09/15/1992 - 06/07/2002 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 02/11/1991 - 07/30/1992 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 09/21/1988 - 03/07/1991 MONARCH SECURITIES, INC. (CRD#:2809)
B
 05/23/1986 - 02/05/1988 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059)
B
 01/28/1983 - 06/18/1986 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
B
 08/25/1980 - 12/21/1982 SECURITY FIRST FINANCIAL, INC. (CRD#:6695)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.