Klaus H. Siepmann
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.
Klaus Herbert Siepmann was a registered financial professional .
Klaus is a previously registered financial professional and started their career in finance in 1997. Klaus had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 53, Series 27 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
January 22, 2015 - December 31, 2019
GRADIENT SECURITIES, LLC
November 8, 2013 - January 22, 2015
GRADIENT ADVISORS, LLC
November 5, 2013 - December 31, 2019
GRADIENT SECURITIES, LLC
August 15, 2013 - September 26, 2013
CL WEALTH MANAGEMENT LLC
October 4, 2011 - December 31, 2012
CL WEALTH MANAGEMENT LLC
October 3, 2011 - September 26, 2013
ALLIED BEACON PARTNERS, INC.
October 4, 2006 - September 30, 2011
WORKMAN SECURITIES CORPORATION
May 10, 2006 - September 30, 2011
WORKMAN SECURITIES CORPORATION
April 19, 2004 - May 16, 2006
ASSOCIATED INVESTMENT SERVICES, INC.
March 2, 2004 - April 20, 2004
GENEOS WEALTH MANAGEMENT, INC.
March 2, 2004 - April 20, 2004
GENEOS WEALTH MANAGEMENT, INC.
September 24, 2003 - March 5, 2004
UNITED SECURITIES ALLIANCE, INC.
September 24, 2003 - March 5, 2004
UNITED SECURITIES ALLIANCE, INC.
March 18, 2002 - March 17, 2003
ASKAR CORP.
July 28, 1999 - January 2, 2002
WORKMAN SECURITIES CORPORATION
April 11, 1997 - May 11, 1999
TRUSTED SECURITIES ADVISORS CORP.
Primary Firm SEC Registration
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
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
GRADIENT SECURITIES, LLC
CRD#: 127701 / SEC#: 801-80807, 8-66032
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 7,322 |
| AUM (Assets Under Management) | $ 591,069,287 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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