Johann A. Klaassen
HORIZONS SUSTAINABLE FINANCIAL SERVICES
Santa Fe, NM 87501
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CRD#: 4280579
Professional summary
Johann Albert Klaassen, AIF®, CFP® is a registered financial advisor currently at HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC. located in Santa Fe, New Mexico.
Johann is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Johann has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) BERRETT-KOEHLER PUBLISHERS, INC.(NON-INVESTMENT RELATED), 235 MONTGOMERY ST, STE 650, SAN FRANCISCO, CA 94104; PUBLISHERS; MANUSCRIPT REVIEW; START DATE: 1/31/2013; 10 HRS/YEAR, 0 HRS DURING SECURITIES TRADING HRS; REVIEW MANUSCRIPS ON TOPICS IN WHICH I AM EXPERT, SUCH AS BUSINESS ETHICS.
CRS (Client Relationship Summary) - RIA
Click below to view Johann Albert Klaassen'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®
CFP®
Start date: 2010
Experience
Current
January 13, 2025 - Present
HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
Office #1: 535 Cerrillos Road Suite A2, Santa Fe, NM 87501RIA
CRD#: 164970
Santa Fe, NM
Past
May 1, 2013 - December 31, 2024
HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
RIA
CRD#: 164970
SANTA FE, NM
Past
January 2, 2013 - July 19, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
PALMER LAKE, CO
Past
June 21, 2002 - January 2, 2013
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
RIA
CRD#: 109036
COLORADO SPRINGS, CO
Past
November 15, 2000 - July 30, 2001
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
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".
HS
HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
HORIZONS SUSTAINABLE FINANCIAL SERVICES | KIEL, LTD. | HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
CRD#: 164970 / SEC#: 801-120599
RIA
Registered Investment Advisory firm - (3/25/2021 Approved)California
Registered Investment Advisory firm - (4/25/2021 Terminated)Colorado
Registered Investment Advisory firm - (3/26/2021 Terminated)New Mexico
Registered Investment Advisory firm - (3/26/2021 Terminated)Oregon
Registered Investment Advisory firm - (8/6/2021 Terminated)Texas
Registered Investment Advisory firm - (3/26/2021 Terminated)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
New Mexico(1/14/2025)
IAR
Texas(1/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
HS
HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
HORIZONS SUSTAINABLE FINANCIAL SERVICES | KIEL, LTD. | HORIZONS SUSTAINABLE FINANCIAL SERVICES, INC.
CRD#: 164970 / SEC#: 801-120599
RIA
Registered Investment Advisory firm - (3/25/2021 Approved)California
Registered Investment Advisory firm - (4/25/2021 Terminated)Colorado
Registered Investment Advisory firm - (3/26/2021 Terminated)New Mexico
Registered Investment Advisory firm - (3/26/2021 Terminated)Oregon
Registered Investment Advisory firm - (8/6/2021 Terminated)Texas
Registered Investment Advisory firm - (3/26/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
535 Cerrillos Road Suite A2, Santa Fe, NM 87501
Mailing Address
Phone number
(505) 982-9661
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 714 |
| AUM (Assets Under Management) | $ 131,873,325 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
