KH
KH
Kristy Hopkins
29 Years of Experience
Denver, CO
1 DisclosureBroker
Kristy Hopkins is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Denver, CO, with 29 years of industry experience. Kristy operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.
Compensation
Fixed/Hourly
Firm Size
2117 advisors
Number of Clients
1 client
Average Client Portfolio
Not specified
Fee Structure
Investment management only (planning not offered)
NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.
Loading...
Location
1873 S Bellaire St, Ste 1600, Denver, CO, 80222
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
December 2011Final
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
April 2014 - Present · 12 yrs 1 mo
Northwestern Mutual Investment Services, LLC
March 2014 - Present · 12 yrs 2 mos
Northwestern Mutual Investment Services, LLCBroker
March 2014 - Present · 12 yrs 2 mos
Previous Registrations
Sanders Morris Harris INC.Broker
September 2010 - January 2014 · 3 yrs 4 mos
Edelman Financial Services LLC
September 2010 - January 2014 · 3 yrs 4 mos
World Equity Group, INC.
March 2008 - August 2010 · 2 yrs 5 mos
World Equity Group, INC.Broker
March 2008 - August 2010 · 2 yrs 5 mos
Northwestern Mutual Investment Services,llc
April 2005 - March 2008 · 2 yrs 11 mos
Northwestern Mutual Investment Services, LLCBroker
April 2004 - March 2008 · 3 yrs 11 mos
Charles Schwab & CO., INC.Broker
April 1996 - December 2002 · 6 yrs 8 mos
Janus Distributors, INC.Broker
November 1994 - February 1996 · 1 yr 3 mos
Chatfield Dean & CO., INC.Broker
August 1994 - October 1994 · 2 mos
State Registrations51 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.