Robert J. Kleinschmidt
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert John Kleinschmidt, who also goes by Bob Kleinschmidt, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 7 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2012 - March 14, 2014
CUNA BROKERAGE SERVICES, INC.
November 29, 2012 - March 14, 2014
CUNA BROKERAGE SERVICES, INC.
September 28, 2010 - November 16, 2012
LPL FINANCIAL LLC
September 28, 2010 - November 16, 2012
LPL FINANCIAL LLC
January 8, 2009 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
July 25, 2007 - July 25, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
July 25, 2007 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
December 19, 2006 - July 24, 2007
VISION ASSET MANAGEMENT INC
October 3, 2003 - July 24, 2007
VISION INVESTMENT SERVICES, INC.
April 6, 1995 - December 31, 1996
ROBERT W. BAIRD & CO. INCORPORATED
October 30, 1981 - February 26, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
