Norman F. Klopp

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CRD#: 271985

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.

Norman Francis Klopp JR, who also goes by Norman F Klopp Jr, was a registered financial professional .

Norman is a previously registered financial professional and started their career in finance in 1969. Norman had worked at 5 firms and has passed the Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Norman F Klopp Jr

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 10, 2017 - October 25, 2018

CARNEGIE INVESTMENT COUNSEL

RIA

CRD#: 150488

CLEVELAND, OH

Past

August 3, 2015 - December 12, 2017

MIDWEST INVESTMENT MANAGEMENT LLC

RIA

CRD#: 111170

CLEVELAND, OH

Past

June 3, 1996 - January 11, 2000

ROULSTON RESEARCH CORP.

CRD#: 17864

CLEVELAND, OH

Past

March 13, 1981 - June 3, 1996

ROULSTON RESEARCH CORP.

CRD#: 3235

CLEVELAND, OH

Past

December 17, 1969 - March 13, 1981

CRD#: 1000004

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CARNEGIE INVESTMENT COUNSEL

CARNEGIE CAPITAL ASSET MANAGEMENT, LLC | CARNEGIE INVESTMENT COUNSEL

CRD#: 150488 / SEC#: 801-70242

RIA

Registered Investment Advisory firm - (4/30/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

Series 1

Date: 4/16/1962

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 12/6/1969

Registered Principal Examination

Current Firm

CARNEGIE INVESTMENT COUNSEL

CARNEGIE CAPITAL ASSET MANAGEMENT, LLC | CARNEGIE INVESTMENT COUNSEL

CRD#: 150488 / SEC#: 801-70242

RIA

Registered Investment Advisory firm - (4/30/2009 Approved)

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Contact information

Main Address

30300 Chagrin Boulevard, Pepper Pike, OH 44124

Mailing Address

Phone number

(216) 367-4114

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARNEGIE FORM ADV PART 2A 03-31-2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	8,127
AUM (Assets Under Management)	$ 6,520,130,588

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/09/2024	Cover Page	Report
07/13/2023	Cover Page	Report
02/08/2023	Cover Page	Report

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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Norman F. Klopp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CARNEGIE INVESTMENT COUNSEL

MIDWEST INVESTMENT MANAGEMENT LLC

ROULSTON RESEARCH CORP.

ROULSTON RESEARCH CORP.

Primary Firm SEC Registration

CARNEGIE INVESTMENT COUNSEL

State Registrations and Notice Filings

Exams

Series 1

Date: 4/16/1962

Series 40

Date: 12/6/1969

Current Firm

CARNEGIE INVESTMENT COUNSEL

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARNEGIE INVESTMENT COUNSEL

TRUST BUT VERIFY

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