Matthew T. Kline

KLINE CAPITAL MANAGEMENT LLC

Northfield, IL 60093

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CRD#: 1968700

Professional summary

Matthew Thomas Kline is a registered financial advisor currently at KLINE CAPITAL MANAGEMENT LLC located in Northfield, Illinois.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Matthew has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 28 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.

1. KLINE CAPITAL GROUP LLC - Owner - consulting company. Company is not investment related. Hours during business hours per month averages 10. 2. KLINE CAPITAL ADVISORS LLC - OWNER - INSURANCE AGENCY. Hours during business hours per month average 1-2. 3. Managing Member; WorkHorse Equipment LLC; Is the business investment related: No; Location of the business: 909 S. RTE 83, SUITE 200 ELMHURST Illinois 60126 United States; Description of the business: Aerial and construction equipment; Responsibilities Duties: Managing Member/COO; Start date with business: 2023-11-01; Hours per month devoted to business during trading hours: 4; Hours per month devoted to business outside trading hours: 16; Percentage of total yearly compensation expected to be derived from the business: 0;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Thomas Kline'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®

None

Experience

Current

February 16, 2011 - Present

KLINE CAPITAL MANAGEMENT LLC

Office #1: 540 W. Frontage Road Suite 3315, Northfield, IL 60093

RIA

CRD#: 136825

Northfield, IL

Past

March 31, 2008 - December 21, 2012

SUNSTREET SECURITIES, LLC

CRD#: 143211

BURBANK, IL

Past

April 1, 2002 - March 23, 2006

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

March 13, 1998 - April 1, 2002

MARQUETTE FINANCIAL GROUP, INC.

CRD#: 345

MINNEAPOLIS, MN

Past

March 15, 1996 - June 6, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Illinois
(2/16/2011)

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

IAR

Series 65

Date: 4/18/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/14/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 2/22/2007

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/10/2005

General Securities Principal Examination

Current Firm

KLINE CAPITAL MANAGEMENT LLC

CRD#: 136825 / SEC#: 801-64647

RIA

Registered Investment Advisory firm - (4/9/2012 Terminated)

Illinois

Registered Investment Advisory firm - (3/24/2011 Approved)

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).

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Contact information

Main Address

540 W. Frontage Road Suite 3315, Northfield, IL 60093

Mailing Address

Phone number

(312) 263-6100

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	94
AUM (Assets Under Management)	$ 25,455,843

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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Firm Stability Insights

Matthew T. Kline

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Thomas Kline's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUNSTREET SECURITIES, LLC

AVANTAX INVESTMENT SERVICES, INC.

MARQUETTE FINANCIAL GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 4/18/1996

Series 63

Date: 3/27/1996

Series 7

Date: 3/14/1996

Series 28

Date: 2/22/2007

Series 24

Date: 1/10/2005

Current Firm

KLINE CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KLINE CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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