Career
Kristen Whealon has been Chief Compliance Officer of Digitalbridge Investment Management since November 2017. Kristen Whealon is a control person of the firm and directly owns under 5% of it.
Digitalbridge Investment Management, LLC is a Boca Raton, FL firm with $61.1B under management, 86 clients and 157 advisers across 10 offices, as of its June 2026 filing.
Before joining DigitalBridge, Kristen Whealon worked as an Assistant Compliance Officer at Geneos Wealth Management.
No adviser firm registrations are on Kristen Whealon’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 11 February 2003 |
| Series 7 | General Securities Representative Examination | 9 November 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 October 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
Individual record
- Full name
- Kristen Ann Whealon
- CRD
- 3105081
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Kristen Whealon work?
Kristen Whealon has been Chief Compliance Officer of Digitalbridge Investment Management, LLC since November 2017, and is a control person of the firm.
Does Kristen Whealon have a current investment-adviser registration?
Kristen Whealon has no current investment-adviser or broker registration.
What exams has Kristen Whealon passed?
Kristen Whealon has passed 3 licensing exams: the Series 63, Series 7 and Series 24. The earliest, the Series 63, was passed in October 1998. FINRA credited Kristen Whealon with the SIE, which began in October 2018.