Douglas O. Kloppenburg
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.
Douglas Osborn Kloppenburg, who also goes by Doug Kloppenburg, Douglas Kloppenburg, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 2004. Douglas had worked at 4 firms and has passed the Series 65 and Series 63 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2013 - January 9, 2013
MAINLINE PRIVATE WEALTH, LLC
July 30, 2012 - January 15, 2013
LOUNTZIS ASSET MANAGEMENT, LLC
August 10, 2010 - January 25, 2012
OSBORN STEELE WEALTH MANAGEMENT, LLC
February 19, 2004 - September 30, 2009
BALLAMOR CAPITAL MANAGEMENT, LLC
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
MAINLINE PRIVATE WEALTH, LLC
CRD#: 159295 / SEC#: 801-72888
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 858 |
| AUM (Assets Under Management) | $ 792,780,123 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2023 |
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.
