Kevin M. Jaklin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Michael Jaklin, CFA was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1986. Kevin had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2019 - November 1, 2021
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
May 23, 2012 - March 6, 2019
SCHENCK INVESTMENT SOLUTIONS LLC
February 21, 2011 - May 4, 2012
INVESTMENT CENTERS OF AMERICA, INC.
July 8, 2004 - June 21, 2007
CAPITAL MARKET CONSULTANTS, INC.
September 26, 2001 - June 30, 2004
NORTHWESTERN MUTUAL TRUST COMPANY
September 20, 1990 - February 27, 1992
VALLEY SECURITIES, INC.
May 25, 1988 - September 30, 1988
UBS FINANCIAL SERVICES INC.
October 2, 1987 - May 20, 1988
MORGAN STANLEY DW INC.
March 31, 1987 - September 11, 1987
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 21, 1986 - April 16, 1987
INTERFIRST CAPITAL CORPORATION
Primary Firm SEC Registration
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CRD#: 38357 / SEC#: 801-57242, 8-48239
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CRD#: 38357 / SEC#: 801-57242, 8-48239
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLIFTONLARSONALLEN LLP | SOLE MEMBER | |
| BLAND, WILLIAM CLAYTON | CHIEF EXECUTIVE OFFICER | 3259971 |
| BUFFIE, BRIAN JACOB | CHIEF COMPLIANCE OFFICER | 5532207 |
| VAN HORRICK, JACLYN SUZANNE | PRINCIPAL FINANCIAL OFFICER | 4587577 |
| VAN HORRICK, JACLYN SUZANNE | PRINCIPAL OPERATIONS OFFICER | 4587577 |
| VAN HORRICK, JACLYN SUZANNE | FINANCIAL OPERATIONS PRINCIPAL | 4587577 |
Regulatory assets under management
| Total Number of Accounts | 22,382 |
| AUM (Assets Under Management) | $ 13,324,042,941 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/18/2025 | ||
| 09/10/2024 | ||
| 08/16/2023 |
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.
