Charles F. Klumpp

PACIFIC FINANCIAL ADVISORY GROUP LLC

MISSION VIEJO, CA 92691

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CRD#: 1298392

Professional summary

Charles Franklin Klumpp, AIF® is a registered financial advisor currently at PACIFIC FINANCIAL ADVISORY GROUP LLC located in Mission Viejo, California.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Charles has worked at 16 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 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.

06/2016-PRESENT; Sole Proprietor; Insurance Sales; Murrieta, Mission Viejo, CA; INVESTMENT RELATED; INSURANCE SALES; INSURANCE AGENT. About 80% of time spent in this capacity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Franklin Klumpp's 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 9, 2018 - Present

PACIFIC FINANCIAL ADVISORY GROUP LLC

Office #1: 27201 Puerta Real Ste 300, Mission Viejo, CA 92691Office #2: 41593 Winchester Road Suite 200, Temecula, CA 92590

RIA

CRD#: 291330

MISSION VIEJO, CA

Past

June 13, 2016 - February 3, 2017

WADDELL & REED

RIA

CRD#: 866

RIVERSIDE, CA

Past

June 13, 2016 - February 3, 2017

WADDELL & REED

CRD#: 866

RIVERSIDE, CA

Past

September 16, 2013 - December 31, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

MURRIETA, CA

Past

August 13, 2013 - December 31, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

MURRIETA, CA

Past

October 8, 2002 - December 20, 2002

NEBS FINANCIAL SERVICES, INC.

CRD#: 103874

CLEVELAND, OH

Past

January 30, 2002 - October 4, 2002

LEGEND EQUITIES CORPORATION

CRD#: 30999

PALM BEACH GARDENS, FL

Past

May 24, 2000 - December 12, 2001

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

March 9, 2000 - May 5, 2000

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

October 6, 1999 - January 28, 2000

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

April 28, 1998 - September 10, 1999

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

March 5, 1997 - March 26, 1998

GATEWAY INVESTMENT SERVICES, INC.

CRD#: 31153

OAK PARK, IL

Past

April 3, 1995 - September 26, 1996

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

September 7, 1994 - February 13, 1995

CONSOLIDATED INVESTMENT SERVICES, INC.

CRD#: 7929

LITTLETON, CO

Past

November 15, 1993 - July 29, 1994

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

March 15, 1989 - September 14, 1989

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

March 1, 1989 - March 21, 1989

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Past

October 3, 1988 - December 12, 1988

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

Past

July 30, 1987 - September 14, 1989

GRIFFIN FINANCIAL SERVICES

CRD#: 10823

Past

June 3, 1987 - April 13, 1988

WALNUT STREET SECURITIES, INC.

CRD#: 15840

Past

July 24, 1985 - February 3, 1987

PRINCIPAL SECURITIES, INC.

CRD#: 1137

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

California
(1/9/2018)

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 66

Date: 9/14/2013

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/7/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/12/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/12/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/17/1997

General Securities Principal Examination

Current Firm

PACIFIC FINANCIAL ADVISORY GROUP LLC

CHARLES KLUMPP FINANCIAL LLC | PACIFIC PENSION ADVISORS | PACIFIC FINANCIAL ADVISORY GROUP LLC | CHARLES KLUMPP FINANCIAL LLC REGISTERED INVESTMENT ADVISOR

CRD#: 291330 / SEC#:

California

Registered Investment Advisory firm - (1/9/2018 Approved)

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Contact information

Main Address

27201 Puerta Real Suite 300, Mission Viejo, CA 92691

Mailing Address

Phone number

(949) 420-4585

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Advisor Monitoring

Firm Stability Insights

Charles F. Klumpp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Franklin Klumpp's CRS (Customer Relationship Summary).

Certified licenses

Experience

WADDELL & REED

WADDELL & REED

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

NEBS FINANCIAL SERVICES, INC.

LEGEND EQUITIES CORPORATION

AMERITAS INVESTMENT COMPANY, LLC

PARK AVENUE SECURITIES LLC

ALLSTATE FINANCIAL SERVICES, LLC

AMERITAS INVESTMENT COMPANY, LLC

GATEWAY INVESTMENT SERVICES, INC.

CETERA WEALTH SERVICES, LLC

CONSOLIDATED INVESTMENT SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

GRIFFIN FINANCIAL SERVICES

PRINCIPAL SECURITIES, INC.

CAPITAL BROKERAGE CORPORATION

GRIFFIN FINANCIAL SERVICES

WALNUT STREET SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/14/2013

Series 65

Date: 5/7/2001

Series 63

Date: 11/12/1993

SIE

Date: 2/3/2017

Series 7

Date: 8/13/2013

Series 6

Date: 11/12/1993

Series 24

Date: 12/17/1997

Current Firm

PACIFIC FINANCIAL ADVISORY GROUP LLC

Contact information

Documents

Red Flags

Company Information

PACIFIC FINANCIAL ADVISORY GROUP LLC

TRUST BUT VERIFY

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