William A. Klinglesmith
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.
William Allen Klinglesmith, who also goes by Bill Klinglesmith, William A Klinglesmith, William Allan Klinglesmith, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 5 firms and has passed the Series 65, Series 63, Series 3 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
December 8, 2016 - February 13, 2017
SECURE INVESTMENT MANAGEMENT, LLC
October 21, 2015 - February 11, 2016
REDHAWK WEALTH ADVISORS, INC.
September 30, 1994 - April 3, 1997
CITIGROUP GLOBAL MARKETS INC.
May 18, 1990 - October 17, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 1989 - June 11, 1990
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
SECURE INVESTMENT MANAGEMENT, LLC
CRD#: 141195 / SEC#: 801-80752
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
SECURE INVESTMENT MANAGEMENT, LLC
CRD#: 141195 / SEC#: 801-80752
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 825 |
| AUM (Assets Under Management) | $ 38,291,887 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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