Kristen Guerrero, Owner & Compliance Consultant

Kristen founded RIA Compliance Key in 2020.  Having established an RIA compliance program from the ground up, Kristen saw the need for compliance assistance as it related to building out firm compliance processes.  She saw the value of compliance professionals who offered a customized service with billing options rather than a one size fits all model.  Kristen will work with firm leaders and staff to create and document compliance policies that provide a foundation for an ongoing culture of compliance. She understands the value a strong compliance partner can be for an RIA firm.  

Kristen started her career in the financial services industry in 2003 and has an extensive compliance background.  She previously held  the  Series 7, 24, 53, 63 and 65 and a Masters of Business Administration from MidAmerica Nazarene University. 

Kristen held multiple positions in the Compliance Department at Waddell & Reed during her almost 10 years there, including Compliance Examiner, Compliance Analyst, Compliance Analyst Team Lead and Electronic Surveillance Manager.  Kristen joined PCG Wealth Management as the Director of Compliance when the firm opened in 2018.  Kristen also served as CCO and OSJ Delegate for both Hybrid and Corporate Advisors on LPL Financial's platforms during which time she developed a strong understanding of LPL's Hybrid and Corporate business models.  

Kristen looks forward to meeting you, understanding the needs of your firm and learning how she may be of assistance.