Charles F. Klumpp
Professional summary
Charles Franklin Klumpp, AIF® was a registered financial advisor .
Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Charles had worked at 17 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2026 - Present
Office #1: 27201 Puerta Real Suite 300, Mission Viejo, CA 92691-8590
January 9, 2018 - December 31, 2025
PACIFIC FINANCIAL ADVISORY GROUP LLC
June 13, 2016 - February 3, 2017
WADDELL & REED
June 13, 2016 - February 3, 2017
WADDELL & REED
September 16, 2013 - December 31, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 13, 2013 - December 31, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 8, 2002 - December 20, 2002
NEBS FINANCIAL SERVICES, INC.
January 30, 2002 - October 4, 2002
LEGEND EQUITIES CORPORATION
May 24, 2000 - December 12, 2001
AMERITAS INVESTMENT COMPANY, LLC
March 9, 2000 - May 5, 2000
PARK AVENUE SECURITIES LLC
October 6, 1999 - January 28, 2000
ALLSTATE FINANCIAL SERVICES, LLC
April 28, 1998 - September 10, 1999
AMERITAS INVESTMENT COMPANY, LLC
March 5, 1997 - March 26, 1998
GATEWAY INVESTMENT SERVICES, INC.
April 3, 1995 - September 26, 1996
CETERA WEALTH SERVICES, LLC
September 7, 1994 - February 13, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
November 15, 1993 - July 29, 1994
HORNOR, TOWNSEND & KENT, LLC
March 15, 1989 - September 14, 1989
GRIFFIN FINANCIAL SERVICES
March 1, 1989 - March 21, 1989
PRINCIPAL SECURITIES, INC.
October 3, 1988 - December 12, 1988
CAPITAL BROKERAGE CORPORATION
July 30, 1987 - September 14, 1989
GRIFFIN FINANCIAL SERVICES
June 3, 1987 - April 13, 1988
WALNUT STREET SECURITIES, INC.
July 24, 1985 - February 3, 1987
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/17/2026)
Exams
Current firm
No current employment
Red Flags
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