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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

KRISTIE LYNN WALDORF

Advisor at ARAX ADVISORY PARTNERS

NEW YORK, NY | Birmingham, MI

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Search this name across graphsid dfx:ria:66740b91-9cd0-16d6-621e-4b5cd7095dda

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 17, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ARAX ADVISORY PARTNERS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 8, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 8, 2007
First registration: Jun 17, 2008
Dual registered: yes, broker-dealer
Other names: KRISTIE LYNN DINDA
IAPD individual key: 5080548

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ARAX ADVISORY PARTNERS	Bd affiliated wealth	Nov 20, 2025	n/a	yes	Birmingham, MI\|NEW YORK, NY	Current employment
UBS FINANCIAL SERVICES INC.	Wirehouse	Mar 12, 2018	Nov 11, 2025	no	TROY, MI\|Macomb, MI	Previous registration
MORGAN STANLEY	Wirehouse	Oct 11, 2011	Mar 5, 2018	no	Bloomfield Hills, MI\|Birmingham, MI\|Troy, MI\|Birmingham, MI	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 28, 2010	Aug 22, 2011	no	BLOOMFIELD HILLS, MI\|WATERFORD, MI	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Apr 12, 2010	no	Birmingham, MI	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Jun 17, 2008	Jun 1, 2009	no	BIRMINGHAM, MI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UBS FINANCIAL SERVICES INC.	ARAX ADVISORY PARTNERS	Nov 11, 2025	Nov 20, 2025	9	Firm change	Wirehouse to RIA
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Mar 5, 2018	Mar 12, 2018	7	Firm change	Wirehouse to wirehouse
CHASE INVESTMENT SERVICES CORP.	MORGAN STANLEY	Aug 22, 2011	Oct 11, 2011	50	Firm change	Other
MORGAN STANLEY	CHASE INVESTMENT SERVICES CORP.	Apr 12, 2010	May 28, 2010	46	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:8174:MI:2018-03-01	Mar 5, 2018	Mar 12, 2018	BIRMINGHAM, MI	Firm change

Relationships

Registered with (5)

→ ARAX ADVISORY PARTNERSRegistered adviserregistration: current employment
Nov 20, 2025 to presentfactForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Mar 12, 2018 to Nov 11, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Oct 11, 2011 to Mar 5, 2018factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 28, 2010 to Aug 22, 2011factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Jun 17, 2008 to Jun 1, 2009factForm ADV

Dated events

Occurred
Nov 11, 2025
Advisor changed firm
Kristie Lynn Waldorf left Ubs Financial Services Inc. for Arax Advisory Partners (registered 2025-11-20)
Form ADVobserved 5 days ago