Broker Check
Kristen  Kroeger

Kristen Kroeger

Director of Supervision

Kristen is so knowledgeable about all the BD supervision systems. If you have questions on General Compliance, Firm Policies and Procedures, Navigating DOL PTE/Rightbridge requirements, or help with reports, she is your go-to. Kristen is also an expert on processing Annuity Business for both New and Additional deposit questions,  Client Correspondence questions, and Assistance in using Document Management.

Kristen is part of the Supervision Team and has the privilege to support and partner with the advisors to ensure they understand and have tools to comply with ever-changing industry regulations. She began as an advisor in 1996 and transitioned to compliance in 2012. She has a Bachelors in Economics and is Series 6,7,24,51,63 and 65 registered.

Kristen lives in Huntington Beach, California with her husband Sean and three children. Camping, skiing, hiking, and traveling are her favorite past times.