Matthew T. Klocke

KLOCKE CAPITAL GROUP

Palm Beach, FL 33480

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CRD#: 2912243

Professional summary

Matthew Thomas Klocke, who also goes by Matthew Klocke, is a registered financial advisor currently at KLOCKE CAPITAL GROUP, LLC located in Palm Beach, Florida.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Matthew has worked at 4 firms and has passed the Series 63, Series 65, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matthew Klocke

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) - RIA

Click below to view Matthew Thomas Klocke'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

February 7, 2011 - Present

KLOCKE CAPITAL GROUP, LLC

Office #1: 324 Royal Palm Way Suite 208, Palm Beach, FL 33480

RIA

CRD#: 156160

Palm Beach, FL

Past

November 24, 2009 - January 4, 2011

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

PALM BEACH, FL

Past

October 5, 2009 - January 4, 2011

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

PALM BEACH, FL

Past

June 16, 2005 - October 8, 2009

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

WEST PALM BEACH, FL

Past

March 21, 2005 - October 8, 2009

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

WEST PALM BEACH, FL

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

California
(5/8/2015)

IAR

Florida
(2/7/2011)

IAR

Texas
(4/7/2017)

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

State Security Law Exam

Series 63

Date: 3/31/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/13/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 3/18/2005

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/27/2004

National Commodity Futures Examination

Current Firm

KLOCKE CAPITAL GROUP, LLC

CRD#: 156160 / SEC#: 801-72111

RIA

Registered Investment Advisory firm - (4/19/2011 Terminated)

California

Registered Investment Advisory firm - (5/7/2015 Approved)

Florida

Registered Investment Advisory firm - (4/19/2011 Approved)

Texas

Registered Investment Advisory firm - (4/7/2017 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

324 Royal Palm Way Suite 208, Palm Beach, FL 33480

Mailing Address

Phone number

(877) 991-7161

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	226
AUM (Assets Under Management)	$ 86,495,310

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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Firm Stability Insights

Matthew T. Klocke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Thomas Klocke's CRS (Customer Relationship Summary).

Certified licenses

Experience

KLOCKE CAPITAL GROUP, LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/31/2005

Series 65

Date: 6/13/1997

Series 7

Date: 3/18/2005

Series 3

Date: 10/27/2004

Current Firm

KLOCKE CAPITAL GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KLOCKE CAPITAL GROUP, LLC

TRUST BUT VERIFY

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