Michael J. Kleinfelder

KLEINFELDER CAPITAL

Cincinnati, OH 45236

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CRD#: 4287993

Professional summary

Michael Joseph Kleinfelder, CFP®, who also goes by Michael J Kleinfelder, is a registered financial advisor currently at KLEINFELDER CAPITAL, INC. located in Cincinnati, Ohio.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Michael has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael J Kleinfelder

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. MICHAEL KLEINFELDER IS DUALLY-REGISTERED WITH KLEINFELDER CAPITAL, INC. AS AN INVESTMENT ADVISOR REPRESENTATIVE AND PURSHE KAPLAN STERLING INVESTMENTS, INC. AS A REGISTERED REPRESENTATIVE SINCE 09/2017. BUSINESS ACTIVITIES ARE CONDUCTED FROM THE OFFICES OF KLEINFELDER CAPITAL IN CINCINNATI, OH. APPROXIMATELY 905 OF MR. KLEINFELDER'S TIME IS DEVOTED TO BUSINESS WITH KLEINFELDER CAPITAL AND THE BALANCE AS A REGISTERED REPRESENTATIVE AND LICENSES INSURANCE AGENT. 2. INDEPENDENT INSURANCE AGENT. SAME BUSINESS ADDRESS. LESS THAN 10% OF TIME. 3.RENTAL CONDO; NOT INVESTMENT RELATED; 7755 MONTGOMERY ROAD SUITE 200 CINCINATTI, OH 45236; REAL ESTATE RENTAL INCOME; OWNER; 05/2015; 2 HOURS/MONTH; 0 HOURS/MONTH DURING SECURITIES HOURS; PASSIVE OWNER

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Kleinfelder's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2005

Experience

Current

September 5, 2017 - Present

KLEINFELDER CAPITAL, INC.

Office #1: 8050 Hosbrook Road Suite 200, Cincinnati, OH 45236

RIA

CRD#: 289345

Cincinnati, OH

Past

September 1, 2017 - December 31, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Cincinnati, OH

Past

June 2, 2009 - September 6, 2017

MORGAN STANLEY

RIA

CRD#: 149777

CINCINNATI, OH

Past

June 1, 2009 - September 6, 2017

MORGAN STANLEY

CRD#: 149777

CINCINNATI, OH

Past

May 28, 2009 - July 23, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CINCINNATI, OH

Past

May 26, 2009 - July 23, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CINCINNATI, OH

Past

March 29, 2001 - June 4, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CINCINNATI, OH

Past

December 1, 2000 - June 4, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CINCINNATI, OH

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".

KLEINFELDER CAPITAL, INC.

CHARLESTON CAPITAL, INC. | KLEINFELDER CAPITAL, INC.

CRD#: 289345 / SEC#: 801-111047

RIA

Registered Investment Advisory firm - (8/24/2017 Approved)

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

Ohio
(9/5/2017)

IAR

Texas
(3/28/2019)

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

IAR

Series 66

Date: 12/20/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/29/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/30/2000

General Securities Representative Examination

Current Firm

KLEINFELDER CAPITAL, INC.

CHARLESTON CAPITAL, INC. | KLEINFELDER CAPITAL, INC.

CRD#: 289345 / SEC#: 801-111047

RIA

Registered Investment Advisory firm - (8/24/2017 Approved)

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Contact information

Main Address

8050 Hosbrook Road Suite 200, Cincinnati, OH 45236

Mailing Address

Phone number

(513) 808-9700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KLEINFELDER DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENT (2/24/2025)

Regulatory assets under management

Total Number of Accounts	1,037
AUM (Assets Under Management)	$ 306,833,604

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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Advisor Monitoring

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Michael J. Kleinfelder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Kleinfelder's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

KLEINFELDER CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/20/2000

SIE

Date: 10/1/2018

Series 31

Date: 3/29/2010

Series 7

Date: 11/30/2000

Current Firm

KLEINFELDER CAPITAL, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KLEINFELDER CAPITAL, INC.

TRUST BUT VERIFY

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