PK
Paul D. Kienbaum
ALLIANT SECURITIES TURNER, NORD, KIENBAUM
Liberty Lake, WA 99019
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CRD#: 1532287
PK
Professional summary
Paul Douglas Kienbaum is a registered financial advisor currently at ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM located in Liberty Lake, Washington.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Paul has worked at 2 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 14 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.
LIBERTY LAKE LLC (NON-INVESTMENT RELATED)
695 N LEGACY RIDGE DR SUITE 301
LIBERTY LAKE, WA 99019
COMMERICAL PROPERTY: ALLIANT BUILDING
ADDRESS SAME AS ABOVE. 13.50% STOCK HOLDER.
ZEOR SPENT.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Douglas Kienbaum's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Douglas Kienbaum'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®
NoneExperience
Current
September 27, 2007 - Present
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
Office #1: 695 North Legacy Ridge Drive Suite 300, Liberty Lake, WA 99019RIA
BD
CRD#: 7726
Liberty Lake, WA
Current
January 19, 1988 - Present
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
Office #1: 695 North Legacy Ridge Drive Suite 300, Liberty Lake, WA 99019RIA
BD
CRD#: 7726
Liberty Lake, WA
Past
July 23, 1986 - January 26, 1988
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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".
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
ALLIANT SECURITIES, INC. | BOZARTH, FITZGERALD & TURNER SECURITIES, INC. | BOZARTH & TURNER SECURITIES, INC. | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
CRD#: 7726 / SEC#: 801-120849, 8-23305
RIA
Registered Investment Advisory firm - SEC (5/13/2021 Approved)Idaho
Registered Investment Advisory firm - SEC (5/14/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/6/2021 Terminated)Washington
Registered Investment Advisory firm - SEC (6/14/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(5/10/2006)
RR
Arizona(1/20/1988)
IAR
Arizona(8/4/2022)
RR
California(8/16/2002)
IAR
California(5/28/2021)
RR
Florida(5/10/2006)
RR
Idaho(1/22/1988)
IAR
Idaho(11/15/2018)
RR
Montana(1/20/1988)
IAR
Montana(2/25/2022)
RR
New York(5/30/2006)
RR
Oregon(5/31/2006)
IAR
Oregon(11/27/2018)
RR
Texas(6/24/2022)
RR
Washington(1/19/1988)
IAR
Washington(9/27/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
ALLIANT SECURITIES, INC. | BOZARTH, FITZGERALD & TURNER SECURITIES, INC. | BOZARTH & TURNER SECURITIES, INC. | ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
CRD#: 7726 / SEC#: 801-120849, 8-23305
RIA
Registered Investment Advisory firm - SEC (5/13/2021 Approved)Idaho
Registered Investment Advisory firm - SEC (5/14/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (8/6/2021 Terminated)Washington
Registered Investment Advisory firm - SEC (6/14/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
695 North Legacy Ridge Drive Suite 300, Liberty Lake, WA 99019
Mailing Address
695 North Legacy Ridge Drive Suite 300, Liberty Lake, WA 99019
Phone number
(509) 747-9144
Established
Washington since 10/10/1978
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9
SEC notice filing (6 States and Territories)
FINRA licenses (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 548 |
| AUM (Assets Under Management) | $ 226,500,000 |
Disclosures
| Regulatory Event | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 01/29/2024 |
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.
Company Information
ALLIANT SECURITIES, INC. TURNER, NORD, KIENBAUM
CRD#: 7726Liberty Lake, WA 99019TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
