Christian G. Kling
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.
Christian Garrett Kling, who also goes by Christian Garret Kling, was a registered financial professional .
Christian is a previously registered financial professional and started their career in finance in 1976. Christian had worked at 11 firms and has passed the Series 63, Series 65, PC, Series 7 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2019 - April 6, 2022
SPEARHEAD CAPITAL ADVISORS, LLC
July 26, 2016 - November 21, 2019
ENHANCE ADVISORS, LLC
February 12, 2008 - October 7, 2015
KLING & MARSH WEALTH MANAGEMENT, LLC
July 8, 1999 - May 2, 2001
DOMINARI SECURITIES LLC
August 1, 1997 - February 6, 2007
CONNECTICUT INVESTMENT MANAGEMENT INC
February 29, 1996 - June 10, 1997
CROWN FINANCIAL ASSOCIATES, INC.
February 28, 1996 - June 10, 1997
CROWN FINANCIAL ASSOCIATES, INC.
September 13, 1984 - February 26, 1994
UBS FINANCIAL SERVICES INC.
January 16, 1979 - September 20, 1984
MORGAN STANLEY DW INC.
November 22, 1977 - April 2, 1979
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
May 6, 1976 - November 17, 1976
SHEARSON HAYDEN STONE INC.
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
PC
Date: 4/25/1988
AMEX Put and Call ExamSeries 00
Date: 7/8/1969
General Securities Principal ExaminationCurrent Firm
SPEARHEAD CAPITAL ADVISORS, LLC
CRD#: 161131 / SEC#: 801-108482
Contact information
Regulatory assets under management
| Total Number of Accounts | 567 |
| AUM (Assets Under Management) | $ 1,893,012,408 |
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.
