Mark Klopfenstein
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.
Mark Klopfenstein, AIF®, who also goes by Mark Alan Klopfenstein, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 6 firms and has passed the Series 63, Series 65, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2005 - October 25, 2019
STRATEGIC INVESTMENT ADVISORS, LLC
August 17, 2005 - December 31, 2012
TRIAD ADVISORS LLC
July 7, 2004 - August 16, 2005
WALNUT STREET SECURITIES, INC.
June 7, 2004 - August 18, 2005
SAVAGE AND ASSOCIATES, INC.
June 12, 2001 - August 16, 2005
WALNUT STREET ADVISERS INC
April 5, 2001 - August 16, 2005
WALNUT STREET SECURITIES, INC.
February 3, 1997 - May 17, 2001
OSAIC WEALTH, INC.
State Registrations and Notice Filings
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Exams
Current Firm
STRATEGIC INVESTMENT ADVISORS, LLC
CRD#: 135448 / SEC#: 801-64681
Contact information
Red Flags
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