Douglas J. Koogler

KIPLINGER WEALTH ADVISORS

SPRINGBORO, OH 45066-9557

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CRD#: 1860457

Professional summary

Douglas J Koogler, who also goes by Douglas Jack Koogler, is a registered financial advisor currently at KIPLINGER WEALTH ADVISORS located in Springboro, Ohio.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Douglas has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Douglas Jack Koogler

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.

Insurance Position: Independent contractor - Nature: Insurance and annuity sales and service - Investment Related: No - Hours: 3 - Securities Trading Hours: 2 - Start Date: 11/22/2017 - Address: 325 N. Main Street, Suite 202, Springboro OH 45066, United States

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas J Koogler's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 30, 2017 - Present

KIPLINGER WEALTH ADVISORS

Office #1: 24 Remick Blvd, Springboro, OH 45066-9557

RIA

CRD#: 116726

SPRINGBORO, OH

Past

November 28, 2017 - December 31, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

SPRINGBORO, OH

Past

February 5, 2016 - December 7, 2017

WEALTH MANAGEMENT GROUP

RIA

CRD#: 108749

Tipp City, OH

Past

June 16, 2011 - December 5, 2017

LPL FINANCIAL LLC

CRD#: 6413

SPRINGBORO, OH

Past

March 20, 2008 - September 8, 2014

KIPLINGER WEALTH ADVISORS

RIA

CRD#: 116726

SPRINGBORO, OH

Past

August 20, 2007 - July 15, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

SPRINGBORO, OH

Past

June 7, 2001 - August 24, 2007

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

COLUMBUS, OH

Past

May 21, 1998 - August 24, 2007

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

COLUMBUS, OH

Past

December 24, 1991 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

September 18, 1990 - November 22, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

KIPLINGER WEALTH ADVISORS

KIPLINGER INVESTMENT ADVISORS, LLC. | STEELE & KIPLINGER WEALTH ADVISORS | KIPLINGER WEALTH MANAGEMENT GROUP | KIPLINGER WEALTH ADVISORS

CRD#: 116726 / SEC#: 801-129277

RIA

Registered Investment Advisory firm - (1/2/2024 Approved)

Ohio

Registered Investment Advisory firm - (3/26/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/22/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Ohio
(11/30/2017)

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

Series 63

Date: 10/14/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1990

General Securities Representative Examination

Current Firm

KIPLINGER WEALTH ADVISORS

KIPLINGER INVESTMENT ADVISORS, LLC. | STEELE & KIPLINGER WEALTH ADVISORS | KIPLINGER WEALTH MANAGEMENT GROUP | KIPLINGER WEALTH ADVISORS

CRD#: 116726 / SEC#: 801-129277

RIA

Registered Investment Advisory firm - (1/2/2024 Approved)

Ohio

Registered Investment Advisory firm - (3/26/2024 Terminated)

Texas

Registered Investment Advisory firm - (3/22/2024 Terminated)

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Contact information

Main Address

24 Remick Blvd, Springboro, OH 45066-9557

Mailing Address

Phone number

(937) 886-1442

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KIPLINGER WEALTH ADVISORS - APPENDIX 1 (4/30/2025)

KIPLINGER WEALTH ADVISORS - PART 2A (4/30/2025)

Regulatory assets under management

Total Number of Accounts	909
AUM (Assets Under Management)	$ 212,845,865

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

Douglas J. Koogler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas J Koogler's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA, INC.

WEALTH MANAGEMENT GROUP

LPL FINANCIAL LLC

KIPLINGER WEALTH ADVISORS

SECURITIES AMERICA, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

KIPLINGER WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 10/14/1988

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1990

Current Firm

KIPLINGER WEALTH ADVISORS

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KIPLINGER WEALTH ADVISORS

TRUST BUT VERIFY

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