Klaus D. Schoening
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 Dieter Kurt Schoening SR, who also goes by Klaus D Schoening, Klaus Dieter Schoening, was a registered financial professional .
Klaus is a previously registered financial professional and started their career in finance in 1974. Klaus had worked at 12 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO, SIE, Series 3, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2017 - November 21, 2023
TRUSTMONT ADVISORY GROUP, INC.
January 4, 2017 - November 21, 2023
TRUSTMONT FINANCIAL GROUP, INC.
June 9, 2011 - December 31, 2016
HARBOR LIGHT INVESTMENT ADVISORS, LLC
May 24, 2011 - December 31, 2016
HARBOR LIGHT SECURITIES, LLC
October 31, 2003 - June 21, 2011
AMERITAS INVESTMENT COMPANY, LLC
April 24, 2003 - October 31, 2003
THE ADVISORS GROUP, INC.
January 12, 2001 - April 25, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 17, 1995 - January 19, 2001
EDGAR M. NORRIS & CO., INC.
March 9, 1990 - March 13, 1995
UBS FINANCIAL SERVICES INC.
October 30, 1978 - March 21, 1990
THE ROBINSON-HUMPHREY COMPANY, LLC
September 26, 1978 - January 2, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
TRUSTMONT ADVISORY GROUP, INC.
CRD#: 106015 / SEC#: 801-30694
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 3/31/1988
AMEX Put and Call ExamSeries 1
Date: 6/26/1974
Registered Representative ExaminationSeries 8
Date: 4/9/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRUSTMONT ADVISORY GROUP, INC.
CRD#: 106015 / SEC#: 801-30694
Contact information
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,387 |
| AUM (Assets Under Management) | $ 1,126,006,619 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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