Fred Kling
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.
Fred Kling, who also goes by Fred Kling III, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1992. Fred had worked at 9 firms and has passed the Series 65, 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
August 17, 2015 - May 18, 2016
STRATEGIC FINANCIAL GROUP, PLC
January 1, 2015 - July 23, 2015
VERUS CAPITAL PARTNERS, LLC
May 23, 2014 - December 31, 2014
VERUS CAPITAL PARTNERS, LLC
September 24, 2013 - June 30, 2015
SECURITIES AMERICA, INC.
January 22, 2009 - October 23, 2013
LPL FINANCIAL LLC
January 2, 2001 - January 26, 2009
CETERA FINANCIAL SPECIALISTS LLC
July 8, 1999 - January 8, 2001
NATIONAL PLANNING CORPORATION
May 9, 1994 - June 28, 1999
OSAIC WEALTH, INC.
July 15, 1993 - May 9, 1994
TRIPLE CHECK FINANCIAL SERVICES, INC.
November 27, 1992 - July 19, 1993
WESTAMERICA INVESTMENT GROUP
October 5, 1992 - November 4, 1992
TRIPLE CHECK FINANCIAL SERVICES, INC.
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
STRATEGIC FINANCIAL GROUP, PLC
CRD#: 175153 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 168 |
| AUM (Assets Under Management) | $ 17,221,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
