President/chief Compliance Officer · Retirement Income Strategies, LLC
Kristian L Finfrock
CRD 5421676 · Named on Form ADV at one SEC-registered adviser
At a glance
Retirement Income Strategies, LLC, an SEC-registered wealth manager based in Evansville, WI with $159 million in regulatory assets, lists Kristian L Finfrock on its Form ADV as President/chief Compliance Officer, a control person.
Firms and roles
- Retirement Income Strategies, LLCPresident/chief Compliance OfficerWealth manager · Evansville, WI · $159M in regulatory assets
AtlasMembers
Kristian’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2008 (18 years)
- Designations
- None on file
- Exams
- Series 63, Series 65
- Registered in
- –
- Also a broker representative
- No
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
Kristian’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Kristian’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.