KK
Kimberly R. Kletschke
STIFEL, NICOLAUS & COMPANY
DAKOTA DUNES, SD 57049
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CRD#: 2799186
KK
Professional summary
Kimberly Rae Kletschke, who also goes by Kimberly Rae Cleaver, Kimberly Rae Winthers, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Dakota Dunes, South Dakota.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kimberly has worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kimberly Rae Cleaver | Kimberly Rae Winthers
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. Dakota Dunes Country Club Finance Committee; 960 S Dakota Dunes Blvd Dakota Dunes SD 57049; golfing/social; committee member; Review financials, review audits, review policies and procedures and make recommendations when warranted; 08/27/2024; 2 hours per month; Not during securities trading hours; Not Investment-Related 2. University of South Dakota Foundation; 1110 N. Dakota St. Vermillion, SD 57069; Provides private resources to support the University of South Dakota; Trustee; Support campaigns and be visible at area functions recruiting students and/or alumni gatherings; 01/01/2015; 8hrs/yr; Not during securities trading hours; Not investment related 3. Siouxland Estate Planning Council; 410 5th Street Sioux City, IA 51101; A local organization serving the educational needs of the estate planning community; member; attend monthly meetings; 02/15/2013; 1hr/mth; Not during securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Rae Kletschke's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kimberly Rae Kletschke'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®
NoneExperience
Current
January 5, 2010 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 400 Gold Circle Suite 220, Dakota Dunes, SD 57049RIA
BD
CRD#: 793
DAKOTA DUNES, SD
Current
January 5, 2010 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 400 Gold Circle Suite 220, Dakota Dunes, SD 57049RIA
BD
CRD#: 793
DAKOTA DUNES, SD
Past
August 27, 2001 - January 15, 2010
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
SIOUX CITY, IA
Past
March 2, 1998 - January 15, 2010
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SIOUX CITY, IA
Past
November 4, 1996 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/19/2015)
RR
Arizona(1/5/2010)
RR
Arkansas(6/18/2021)
RR
California(5/21/2015)
RR
Colorado(1/5/2010)
RR
Connecticut(6/18/2021)
RR
Florida(1/5/2010)
RR
Georgia(1/5/2010)
RR
Idaho(6/18/2021)
RR
Illinois(8/19/2011)
RR
Indiana(6/18/2021)
RR
Iowa(1/5/2010)
IAR
Iowa(1/5/2010)
RR
Kansas(10/4/2021)
RR
Louisiana(5/13/2010)
RR
Maryland(1/2/2025)
RR
Massachusetts(8/7/2014)
RR
Michigan(11/18/2013)
RR
Minnesota(1/5/2010)
RR
Mississippi(1/2/2025)
RR
Missouri(11/25/2014)
RR
Montana(9/8/2021)
RR
Nebraska(1/5/2010)
RR
Nevada(11/9/2018)
RR
New Hampshire(6/24/2025)
RR
New Jersey(2/28/2024)
RR
New Mexico(1/2/2025)
RR
New York(2/3/2012)
IAR
North Carolina(1/5/2010)
RR
North Carolina(10/8/2020)
RR
North Dakota(6/18/2021)
RR
Ohio(4/22/2024)
RR
Oklahoma(6/18/2021)
RR
Oregon(2/13/2024)
RR
Pennsylvania(10/16/2013)
RR
South Carolina(3/21/2017)
RR
South Dakota(1/5/2010)
IAR
South Dakota(11/7/2016)
RR
Tennessee(1/3/2011)
RR
Texas(7/18/2019)
IAR
Texas(8/8/2019)
RR
Virgin Islands(1/2/2025)
RR
Virginia(1/2/2025)
RR
Washington(10/4/2021)
RR
Wisconsin(10/4/2021)
RR
Wyoming(7/29/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Dakota Dunes, SD 57049TRUST BUT VERIFY
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Contact information
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