Kristin Horton has been President and Chief Compliance Officer of Haven Capital Group since June 2009, is a control person of the firm and directly owns 75% or more of it.
Haven Capital Group, Inc. is a Westlake Village, CA firm with $144M under management, 118 clients and 1 adviser in one office, as of its March 2026 filing.
Kristin Horton’s longest registration is the current one, 17 years at Haven Capital Group since 2009. Before joining Haven Capital Group in 2009, Kristin Horton was registered through First Republic Investment Management, Inc. and Starbuck Tisdale & Associates.
- Haven Capital GroupCurrent– present · 17 yearsWestlake Village, CA · Adviser representative · Firm CRD 149641
- First Republic Investment Management, Inc.– · 2 yearsSanta Barbara, CA · Adviser representative · Firm CRD 108559
- Starbuck Tisdale & Associates– · 4 yearsSanta Barbara, CA · Adviser representative · Firm CRD 104836
Investment adviser representative registrations
Kristin Horton is registered as an investment adviser representative in 2 states. The first approvals date from June 2009; the most recent is New York, in May 2024.
- CaliforniaSince 23 June 2009
- New YorkSince 21 May 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 26 September 1992 |
| Series 7 | General Securities Representative Examination | 16 September 1989 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Kristin Wyman Horton
- CRD
- 1987375
- Firm
- Haven Capital Group · CRD 149641
- Role
- President and Chief Compliance Officer
- Office
- 2625 TOWNSGATE RD, STE 330, Westlake Village, CA 91361-5751
- Registration
- Investment adviser registration
- In the industry since
- February 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Kristin Horton work?
Kristin Horton has been President and Chief Compliance Officer of Haven Capital Group, Inc. since June 2009, and is a control person of the firm.
Is Kristin Horton a financial advisor?
Yes. Kristin Horton has a current investment-adviser registration in California and New York, through Haven Capital Group since June 2009.
How many years of experience does Kristin Horton have?
Kristin Horton has 23 years in the financial industry, since February 2003, across 3 adviser firms.
What exams has Kristin Horton passed?
Kristin Horton has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in September 1989.
Where did Kristin Horton work before Haven Capital Group?
Before Haven Capital Group, Kristin Horton was registered through Starbuck Tisdale & Associates, February 2003 to June 2007.
Where is Kristin Horton based?
Kristin Horton’s registered office is in Westlake Village, CA.
Is Kristin Horton registered with FINRA?
No. Kristin Horton has no current broker registration.
How can I verify Kristin Horton’s record?
Search CRD 1987375 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kristin Horton’s full registration record.