Kraig Mickelsen has been LLC Managing Member / Chief Compliance Officer of KRM Financial Planning & Wealth Management since November 2025, is a control person of the firm and directly owns 75% or more of it.
KRM Financial Planning & Wealth Management, LLC is a St. Charles, IL firm with $211M under management, 177 clients and 1 adviser in one office, as of its May 2026 filing.
Kraig Mickelsen’s longest registration was 16 years at Ausdal Financial Partners, Inc. (2006–2023). Before joining KRM Financial Planning & Wealth Management in 2026, Kraig Mickelsen was registered through Arete Wealth Advisors, LLC and Wheaton Wealth Partners, LLC.
- – present · under a yearSt. Charles, IL · Adviser representative · Firm CRD 338738
- Arete Wealth Advisors, LLC– · 2 yearsSt. Charles, IL · Adviser representative · Firm CRD 145488
- Wheaton Wealth Partners, LLC– · 1 yearWheaton, IL · Adviser representative · Firm CRD 153638
- Ausdal Financial Partners, Inc.– · 16 yearsSt. Charles, IL · Adviser representative · Firm CRD 7995
- Qa3 Financial LLC– · 4 yearsSt Charles, IL · Adviser representative · Firm CRD 104957
Investment adviser representative registrations
Kraig Mickelsen is registered as an investment adviser representative in 2 states. Each was approved in January 2026.
- IllinoisSince 2 January 2026
- TexasSince 2 January 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 25 August 1998 |
| Series 24 | General Securities Principal Examination | 4 May 1998 |
| Series 7 | General Securities Representative Examination | 14 January 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 6 February 1997 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 6 February 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Kraig Richard Mickelsen
- CRD
- 2845238
- Firm
- KRM Financial Planning & Wealth Management · CRD 338738
- Role
- LLC Managing Member / Chief Compliance Officer
- Office
- 555 S. RANDALL ROAD, SUITE 202, St. Charles, IL 60174
- Registration
- Investment adviser registration
- In the industry since
- February 1997
- Disciplinary history
- Not yet shown here · SEC record
Where does Kraig Mickelsen work?
Kraig Mickelsen has been LLC Managing Member / Chief Compliance Officer of KRM Financial Planning & Wealth Management, LLC since November 2025, and is a control person of the firm.
Is Kraig Mickelsen a financial advisor?
Yes. Kraig Mickelsen has a current investment-adviser registration in Illinois and Texas, through KRM Financial Planning & Wealth Management since January 2026.
How many years of experience does Kraig Mickelsen have?
Kraig Mickelsen has 29 years in the financial industry, since February 1997, across 5 adviser firms.
What exams has Kraig Mickelsen passed?
Kraig Mickelsen has passed 5 licensing exams: the Series 63, Series 6, Series 7, Series 24 and Series 65. The earliest, the Series 63, was passed in February 1997. FINRA credited Kraig Mickelsen with the SIE, which began in October 2018.
Where did Kraig Mickelsen work before KRM Financial Planning & Wealth Management?
Before KRM Financial Planning & Wealth Management, Kraig Mickelsen was registered through Wheaton Wealth Partners, LLC, May 2010 to January 2012; Ausdal Financial Partners, Inc., August 2006 to July 2023; Qa3 Financial LLC, February 2002 to August 2006.
Where is Kraig Mickelsen based?
Kraig Mickelsen’s registered office is in St. Charles, IL.
Is Kraig Mickelsen registered with FINRA?
No. Kraig Mickelsen has no current broker registration.
How can I verify Kraig Mickelsen’s record?
Search CRD 2845238 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kraig Mickelsen’s full registration record.