David M. Klaskin

OAK RIDGE INVESTMENTS

CHICAGO, IL 60603

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CRD#: 1061575

Professional summary

David Michael Klaskin is a registered financial advisor currently at OAK RIDGE INVESTMENTS, LLC located in Chicago, Illinois.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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. OAK RIDGE INVESTMENTS, CHICAGO, IL, INVESTMENT RELATED, START DATE, 1-1-90, CEO INVEST PORTFOLIOS AND MANAGE STAFF, 160 HOURS MONTHLY 128 DURING TRADING HOURS. 2. LLC OWNER AND MEMBER OF BOARD OF DIRECTORS FOR EMPIRE COOLER SERVICE, A REFRIGERATION SALES AND SERVICE COMPANY, LOCATED AT 940 WEST CHICAGO AVENUE, CHICAGO, IL 60642. START DATE, 2006, THERE IS NO DAY TO DAY INVOLVEMENT WITH THE MANAGEMENT OF THE COMPANY. WILL DEVOTE 1 HOUR/MONTH; NONE DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Klaskin'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

January 2, 1998 - Present

OAK RIDGE INVESTMENTS, LLC

Office #1: 10 S Lasalle Suite 1900, Chicago, IL 60603

RIA

CRD#: 107066

CHICAGO, IL

Past

August 15, 2013 - May 14, 2019

IMST DISTRIBUTORS, LLC

CRD#: 130745

CHICAGO, IL

Past

September 25, 2006 - May 9, 2013

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

CHICAGO, IL

Past

January 17, 1990 - November 23, 2004

OAK RIDGE INVESTMENTS, INC.

CRD#: 25544

CHICAGO, IL

Past

August 26, 1982 - January 24, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

OAK RIDGE INVESTMENTS, LLC

CRD#: 107066 / SEC#: 801-35529

RIA

Registered Investment Advisory firm - (12/8/1989 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
(1/2/1998)

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: 9/26/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/1990

General Securities Principal Examination

Current Firm

OAK RIDGE INVESTMENTS, LLC

CRD#: 107066 / SEC#: 801-35529

RIA

Registered Investment Advisory firm - (12/8/1989 Approved)

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Contact information

Main Address

10 South Lasalle Street Suite 2130, Chicago, IL 60603-1020

Mailing Address

Phone number

(312) 857-1040

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OAK RIDGE INVESTMENTS, LLC FORM ADV PART 2 - 12_2025 (12/2/2025)

Regulatory assets under management

Total Number of Accounts	2,876
AUM (Assets Under Management)	$ 1,305,778,842

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

David M. Klaskin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Klaskin's CRS (Customer Relationship Summary).

Certified licenses

Experience

IMST DISTRIBUTORS, LLC

AMUNDI DISTRIBUTOR US, INC.

OAK RIDGE INVESTMENTS, INC.

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

OAK RIDGE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/1996

Series 63

Date: 3/17/1983

SIE

Date: 10/1/2018

Series 7

Date: 8/21/1982

Series 24

Date: 2/13/1990

Current Firm

OAK RIDGE INVESTMENTS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAK RIDGE INVESTMENTS, LLC

TRUST BUT VERIFY

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