Kristen Elizabeth Dealy

Employer firm

Santa Barbara Management CRD 334801

$530M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers

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

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

Current Employers

Employment History

• 04/2014 → 01/2019
  Morgan Stanley Smith Barney Llc
  Chicago, IL
• 01/2015 → 01/2019
  Morgan Stanley Private Bank, National Association
  New York, NY
• 01/2019 → 05/2026
  Bmo Bank Na
  Chicago, IL
• 03/2021 → Present
  Lpl Financial Llc
  Chicago, IL
• 05/2026 → Present
  Santa Barbara Management
  Chicago, IL

Previous Registrations

• 2021-03-24 → 2026-07-09
  Lpl Financial Llc
  Chicago, IL
  Chicago, IL
• 2019-02-12 → 2021-03-24
  Bmo Harris Financial Advisors, Inc.
  Chicago, IL
  Chicago, IL
• 2014-06-20 → 2019-01-25
  Morgan Stanley
  Chicago, IL
  South Jordan, UT
  Chicago, IL

Other Businesses

1. 03/24/2021 - BMO Bank NA - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Private Wealth Advisor Director - Start Date: 01/28/2019 - 160 Hours Per Month/6.5 Hours During Securities Trading - Time Spent 100%. 2. 04/15/2021 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name BMO Investment Services - Investment Related - At Reported Business Location(s). 3. 11/19/2025 - BMO - Real Estate Rental - Investment Related - Chicago, IL & South Bend, IN- Start Date 07/2017 - 1 Hour Per Month

Exams

• S66 Uniform Combined State Law Examination
  2014-06-20

Designations

• Certified Financial Planner