Kristin B Moser

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2026-07-10
NY	RA	APPROVED	2026-07-10

CO RA
APPROVED

Since 2026-07-10
NY RA
APPROVED

Since 2026-07-10

Branch Locations

Windsor, NY • United States

711 Westchester Ave, Suite 305, White Plains, NY 10604 • 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

Organization	City	State	From	To
Pfs Investments Inc	Colorado Springs	CO	08/2016	11/2018
Primerica Financial Services	Colorado Springs	CO	04/2015	11/2018
Walmart	Woodland Park	CO	04/2014	01/2017
Superior Steel Supply	Colorado Springs	CO	02/2018	11/2018
Media News Group	Colorado Springs	CO	02/2017	01/2018
Raymond James Financial Services, Inc.	Colorado Springs	CO	12/2018	10/2021
Lpl Financial Llc	White Plains	NY	08/2022	Present
Unemployed	Chester	VA	10/2021	02/2022
Remote Advisor Resources	Dallas	TX	02/2022	08/2022

08/2016 → 11/2018

Pfs Investments Inc

Colorado Springs, CO
04/2015 → 11/2018

Primerica Financial Services

Colorado Springs, CO
04/2014 → 01/2017

Walmart

Woodland Park, CO
02/2018 → 11/2018

Superior Steel Supply

Colorado Springs, CO
02/2017 → 01/2018

Media News Group

Colorado Springs, CO
12/2018 → 10/2021

Raymond James Financial Services, Inc.

Colorado Springs, CO
08/2022 → Present

Lpl Financial Llc

White Plains, NY
10/2021 → 02/2022

Unemployed

Chester, VA
02/2022 → 08/2022

Remote Advisor Resources

Dallas, TX

Other Businesses

1- 03/2024 / Trivium Point Advisory, LLC / DBA for LPL Business (entity for LPL business) / Investment Related / 173 hrs mth / 40 hrs during trading / At reported business location(s)

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2024-05-18

S63 Uniform Securities Agent State Law Examination

2024-05-18

Designations

Chartered Financial Consultant

Other Names

Kristine B Mcmorris
Kristine Barbara Moser

View on SEC IAPD