Broker Check
Kristen J. Guerrero, MBA

Kristen J. Guerrero, MBA

Director of Compliance & Wealth Advisor

Kristen started her career in the financial services industry in 2003 and has an extensive compliance background. She holds the Series 7, 24, 53 & 63 with LPL Financial, the 65 with PCG Wealth Management, and an MBA from MidAmerica Nazarene University.

She held multiple positions in the Compliance Department at Waddell & Reed during her almost 10 years there.   Kristen joined PCG Wealth Management when the firm opened in January 2018.  She built out PCG’s compliance program & processes from the ground up and is responsible for the day to day compliance responsibilities.  Kristen serves as an OSJ Delegate for both Hybrid and Corporate advisors and has developed a strong understanding of LPL’s Hybrid and Corporate business models.

Kristen’s regulatory knowledge and approach allows her to work closely with advisors and team members to discuss and research any regulatory questions that may arise. She strives to stay aware of the changing regulatory landscape through, reading, research, attending seminars and participating in compliance professional quarterly meetings to discuss and share best practices.

Kristen, her husband Zach and daughter Gabby enjoy travelling and entertaining friends and family. Gabby loves travelling and can have her Hello Kitty suitcase packed at a moment’s notice!