Kristen Leigh Fox

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 08/2015 → 03/2019
  Daley Financial Partners
  Oak Brook, IL
• 08/2015 → 12/2018
  Lpl Financial, Llc
  Oak Brook, IL
• 12/2018 → 03/2019
  Commonwealth Financial Network
  Waltham, MA
• 03/2019 → Present
  Lpl Financial, Llc
  Downers Grove, IL

Previous Registrations

• 2018-12-17 → 2019-03-11
  Commonwealth Financial Network
  Oak Brook, IL
• 2017-09-18 → 2018-12-21
  Lpl Financial Llc
  Oak Brook, IL

Other Businesses

1) 03/2019 - DBA for LPL Business (entity for LPL business) - PWA - 100% - INVESTMENT RELATED - PLAINFIELD, IL 2) 3/1/2021 - Capitas Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 02/23/2021 - 5 Hours Per Month During Securities Trading. 3) 09/14/2022 - Professional Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/11/2019 - 160 Hours Per Month/7 Hours During Securities Trading 4) 3/24/2023 - National Life - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 03/01/2023 - 5 Hours Per Month/5 Hours During Securities Trading

Exams

• S66 Uniform Combined State Law Examination
  2017-09-18
• S65 Uniform Investment Adviser Law Examination
  1997-12-04
• S63 Uniform Securities Agent State Law Examination
  1993-11-05

Designations

• Certified Financial Planner

Other Names

• Carlson
• Kristen Leigh Carlson