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KK

Kregg A. Kiel

KIEL INVESTMENT COMPANY
Carmel, IN
Some features on this profile are disabled
CRD#: 2355057
KK

Professional summary

Kregg Anthony Kiel, who also goes by Kregg Kiel, is a registered financial advisor currently at KIEL INVESTMENT COMPANY located in Carmel, Indiana.

Kregg is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Kregg has worked at 3 firms and has passed the Series 63, Series 65, Series 79TO, SIE and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kregg Kiel

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. Kiel Investment Company, Carmel, Indiana, Registered Investment Advisor, Investment related portfolio management for 6 current clients, 20 hrs/mo. 2. Corporate Finance Associates, 880 W. Monon Green Blvd Ste. 101, Carmel IN 46032, Managing Director, non-investment related business consulting, 100 hrs/mo. 3. ShipSigma, 235 S. Meridian St, Suite 300, Indianapolis IN 46225, Non-Investment Related, referral person, compensation est. $25K, no financial interest in company, 10 hrs/mo, start 09/2022.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kregg Anthony Kiel'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

September 28, 2015 - Present

KIEL INVESTMENT COMPANY

RIA
CRD#: 131043
Carmel, IN
Past

June 24, 2019 - April 4, 2023

CORPORATE FINANCE SECURITIES, INC.

BD
CRD#: 143453
Carmel, IN
Past

February 3, 2016 - May 2, 2017

CANTERBURY INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 125680
ZIONSVILLE, IN
Past

May 12, 2004 - July 21, 2015

KIEL INVESTMENT COMPANY

RIA
CRD#: 131043
CHICAGO, IL

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
Indiana
(3/6/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 2/19/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/11/2004
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/24/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/25/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/30/1993
National Commodity Futures Examination

Current Firm

KI
KIEL INVESTMENT COMPANY
KIEL INVESTMENT COMPANY | KIEL INVESTMENT COMPANY LLC

CRD#: 131043 / SEC#:

Illinois
Registered Investment Advisory firm - (7/21/2015 Terminated)
Indiana
Registered Investment Advisory firm - (3/6/2019 Approved)
Michigan
Registered Investment Advisory firm - (3/14/2019 Terminated)
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Contact information

Main Address
Carmel, IN
Mailing Address
Phone number
(312) 259-4957
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts6
AUM (Assets Under Management)$ 1,446,171

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.

Company Information

KIEL INVESTMENT COMPANY

CRD#: 131043Carmel, IN

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