Howard R. Klieger

WALLED LAKE PLANNING & WEALTH MANAGEMENT

Highland Park, IL 60035

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CRD#: 1020955

Professional summary

Howard Robert Klieger is a registered financial advisor currently at WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC located in Highland Park, Illinois.

Howard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Howard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 15 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) ILLINOIS DEPARTMENT OF INSURANCE; INVESTMENT RELATED; INSURANCE LICENSE; HOURS VARY BASED ON CLIENT NEEDS; SERVICING OF ACCOUNTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Robert Klieger's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 7, 2018 - Present

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

Office #1: 600 Elm Place, Highland Park, IL 60035

RIA

CRD#: 299595

Highland Park, IL

Past

September 15, 2003 - August 29, 2018

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

Winnetka, IL

Past

September 15, 2003 - August 29, 2018

RBC CAPITAL MARKETS, LLC

CRD#: 31194

Winnetka, IL

Past

January 3, 2003 - September 16, 2003

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

CHICAGO, IL

Past

January 3, 2003 - September 16, 2003

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

August 21, 1998 - January 3, 2003

CIBC WORLD MARKETS CORP.

RIA

CRD#: 630

CHICAGO, IL

Past

August 9, 1988 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

March 24, 1983 - August 16, 1988

J.P. MORGAN SECURITIES LLC

CRD#: 79

Past

December 10, 1981 - April 7, 1983

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 299595 / SEC#: 801-114386

RIA

Registered Investment Advisory firm - (12/6/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(12/7/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/15/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/9/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 10/30/1985

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 11/21/1981

General Securities Representative Examination

Current Firm

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

CRD#: 299595 / SEC#: 801-114386

RIA

Registered Investment Advisory firm - (12/6/2018 Approved)

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Contact information

Main Address

600 Elm Place, Highland Park, IL 60035

Mailing Address

Phone number

(847) 616-2590

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WALLED LAKE PLANING & WEALTH MANAGEMENT, LLC - WRAP FEE PROGRAM BROCHURE (3/20/2025)

DISCLOSURE BROCHURE - WALLED LAKE PLANNING & WEALTH MANAGEMENT (3/20/2025)

Regulatory assets under management

Total Number of Accounts	2,092
AUM (Assets Under Management)	$ 669,251,402

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.

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Firm Stability Insights

Howard R. Klieger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Robert Klieger's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

J.P. MORGAN SECURITIES LLC

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/15/1993

Series 63

Date: 12/9/1981

SIE

Date: 8/29/2018

Series 15

Date: 10/30/1985

Series 7

Date: 11/21/1981

Current Firm

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WALLED LAKE PLANNING & WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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