John K. Kleeman
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.
John K Kleeman, AIF®, who also goes by John Kenneth Kleeman, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2023 - January 19, 2024
DAYBRIGHT ADVISORY SERVICES, INC.
March 9, 2022 - February 27, 2023
EDELMAN FINANCIAL ENGINES
September 24, 2021 - February 17, 2022
NATIONWIDE INVESTMENT ADVISORS, LLC
September 23, 2021 - February 17, 2022
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 18, 2019 - December 31, 2020
BANCWEST INVESTMENT SERVICES, INC.
May 1, 2019 - December 31, 2020
BANCWEST INVESTMENT SERVICES, INC.
January 19, 2005 - July 5, 2005
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
February 28, 2003 - September 30, 2003
AMERICAN SKANDIA ADVISORY SERVICES, INC.
February 23, 2001 - September 30, 2003
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 26, 1996 - September 17, 1999
METROPOLITAN LIFE INSURANCE COMPANY
January 26, 1996 - September 17, 1999
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
DAYBRIGHT ADVISORY SERVICES, INC.
CRD#: 133795 / SEC#: 801-93173
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
Series 7TO
Date: 5/1/2019
General Securities Representative ExaminationCurrent Firm
DAYBRIGHT ADVISORY SERVICES, INC.
CRD#: 133795 / SEC#: 801-93173
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,170 |
| AUM (Assets Under Management) | $ 4,212,361,531 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/09/2025 | ||
| 01/22/2024 | ||
| 12/22/2022 |
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.
