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Kristen Cathlene Maxwell

LPl Financial LLC

Tustin, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-06-08
CA RA APPROVED 2021-07-21
  • TX RA
    APPROVED_RES
    Since 2026-06-08
  • CA RA
    APPROVED
    Since 2021-07-21

Branch Locations

14772 Plaza Dr Ste 201, Tustin, CA 92780-2798 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Waddell & Reed Inc Tustin CA 03/2016 07/2021
Various Insurance Carriers For W&R Insurance Agencies Corona CA 03/2016 07/2021
Darci Kelley Costa Mesa CA 03/2016 07/2021
Lpl Financial Llc Tustin CA 07/2021 Present
  • 03/2016 → 07/2021
    Waddell & Reed Inc
    Tustin, CA
  • 03/2016 → 07/2021
    Various Insurance Carriers For W&R Insurance Agencies
    Corona, CA
  • 03/2016 → 07/2021
    Darci Kelley
    Costa Mesa, CA
  • 07/2021 → Present
    Lpl Financial Llc
    Tustin, CA
Previous Registrations
  • 2020-06-22 → 2021-07-21
    Waddell & Reed
    Tustin, CA
    Las Vegas, NV
Other Businesses

1- 07/2021 / DBA for LPL Business (entity for LPL business) / Kelley Family Financial / Investment Related / Tustin, CA 92780

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-06-09
  • S66 Uniform Combined State Law Examination
    2020-06-09
Other Names
  • Kristen Cathlene Kelley
  • Kristen Maxwell

View on SEC IAPD

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CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
TRIPACIFIC CAPITAL ADVISORS, LLC

Other Investors

DAVID LEONARD VAN OVEREEM
TU ANH TRAN
CHRISTOPHER KEYS
BHOOPINDER SINGH KOHLI
ANDREW ALAN HOLDEN
GILBERT LANCE TALBERT
STEPHEN CHRISTOPHER CLIFFORD
JOHN ERIC SEEL

Other Offices

RMR CAPITAL MANAGEMENT LLC · TUSTIN, CA
CROSSPOINT FINANCIAL, LLC · TUSTIN, CA
EQUITABLE ADVISORS, LLC · TUSTIN, CA
KFICO, LLC REGISTERED INVESTMENT ADVISOR · TUSTIN, CA
CAPITAL SYNERGY PARTNERS · IRVINE, CA
LPL FINANCIAL LLC · IRVINE, CA
PARK AVENUE SECURITIES LLC · IRVINE, CA
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · Irvine, CA

More in Tustin, CA

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