Location: Huntington Beach, CA
Credentials: FINRA Series 7, 6, 63, 65, 51 and 24
How I Support Our Advisors
In an ever-evolving regulatory landscape, maintaining a compliant practice shouldn't stand in the way of growth. As a Director of Supervision at Innovative Financial Group (IFG), I oversee our firm’s supervisory and compliance responsibilities, helping to ensure our advisors operate seamlessly within regulatory and firm guidelines.
Advisors typically turn to me to better understand firm systems, workflows, and supervisory processes, as well as for guidance on operational best practices. I specialize in proactive problem-solving—identifying potential compliance issues early before they can escalate into regulatory problems or client complaints. I also place a strong emphasis on education, training our advisors on supervisory expectations and changing industry rules so they always feel ahead of the curve.
"Having spent years as an advisor myself before transitioning to supervision, I truly understand the unique dynamics of running a business while trying to stay compliant. My goal is to handle the regulatory heavy lifting so our advisors can focus entirely on what they do best: serving their clients and growing their practices."
Professional Background & Expertise
Kristen brings an extraordinary 30 years of experience in the financial services industry to the IFG team. She began her career in 1996 with John Hancock, working directly as an Investment Advisor. This foundational experience on the client-facing side of the business gives her a rare, highly empathetic perspective on compliance. In 2012, she transitioned into Supervision, combining her deep field knowledge with specialized regulatory expertise to serve as a practical, business-minded protector for independent practices.
Behind the Scenes: Outdoors & Sports Mom Life
When she is not keeping the firm aligned with regulatory standards, Kristen is all about family, sports, and embracing the great outdoors.
- Family First: Kristen is happily married and the proud mom of three active children.
- The Ultimate Sports Mom: With her kids constantly involved in athletics over the years, Kristen has fully earned her title as a true, dedicated soccer and lacrosse mom.
- Outdoor Adventures: A nature lover at heart, she loves spending her free time in the fresh air—whether she is skiing down a mountain, hiking a trail, or camping under the stars.