Kristel Lea Strittmatter

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2004 → 03/2017
  Producers Financial Group
  Fargo, ND
• 10/2011 → 02/2025
  Concourse Financial Group Securities Inc
  Fargo, ND
• 01/2020 → Present
  (Dba) The Affiliates Financial
  Fargo, ND
• 02/2024 → Present
  (Dba) Capital Resource Management Llc
  Fargo, ND
• 02/2025 → Present
  Cetera Wealth Services, Llc
  Fargo, ND
• 02/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2011-11-07 → 2025-02-20
  Concourse Financial Group Securities, Inc.
  Fargo, ND
  Birmingham, AL

Other Businesses

1. (dba) THE AFFILIATES FINANCIAL; Investment Related; 818 Main Avenue, Suite 3, Fargo ND 58103; Owner; Start Date 01/2020; 36 hours per month; The Affiliates Financial is the DBA name for the OSJ/Designated Principal branch. 2. JAY C MATTHEWS INSURANCE & INVESTMENTS; Investment Related; 818 Main Avenue, Suite 3, Fargo ND 58103; Client Services; Start Date 01/2020; 15 hours per month; Help service clients and provide other administrative support. 3. SAPPHIRE FINANCIAL LLC; Investment Related; 818 Main Avenue, Suite 3, Fargo, ND 58103; Insurance; President; Start Date 5/2022; 600 hours per month with many of those hours per month occurring during trading hours; LLC created for my investment and insurance business. 4. INSURANCE; Investment Related; 818 Main Avenue, Suite 3, Fargo, ND 58103; Insurance; Producer; Start Date 04/2020; 10 hours per month with varied number of hours occurring during trading hours; Sales and service of fixed life, fixed annuity and employee benefit products such as short-term disability, long-term disability, dental, vision, and/or group insurance products. 5. HAWLEY YOUTH BASKETBALL ASSOCIATION (HYBA); Non-investment related; 24682 1st Avenue North, Hawley, MN 56549; Officer; 1) Board Member: Start Date 08/2023; 4 hours per month with varied hours per month during trading hours depending on the time of the year; Role includes coordinating infrastructure (uniforms/facilities), fundraising and promoting youth basketball in my community as well as organizing online registration, communicating with parents/guardians and coaches and working with area schools and local facilities to schedule gym time. 2) Vice President; HYBA now has 501c3 status. Fundraising goals are to have an opportunity to provide scholarship/sponsorship to kids who are in need of financial assistance, provide equipment for youth teams and tournament sponsorship. 6. (dba) CAPITAL RESOURCE MANAGEMENT LLC; Investment Related; Fargo, ND; Investments and Insurance; Adviser; Start Date 02/2024; 150 hours per month with 120 hours per month occurring during trading hours; dba name only - all income will flow through my broker/dealer and/or fixed insurance companies with which I am appointed. 7. NAME OF OTHER BUSINESS: HAWLEY PUBLIC SCHOOLS - ISD 150; INVESTMENT RELATED: NO; ADDRESS: 714 JOSEPH ST, PO BOX 608, HAWLEY, MN 56549; NATURE OF BUSINESS: BOARD; START DATE: 7/2026; POSITION/TITLE/RELATIONSHIP: SCHOOL BOARD MEMBER CANDIDATE; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: SCHOOL BOARD MEMBER CANDIDATE;

Exams

• S66 Uniform Combined State Law Examination
  2008-04-04

Other Names

• Kristel Lea Engelby
• Kristel L Engelby
• Kristel L Strittmatter