JK
John Klingler
SECFI ADVISORY LIMITED
CHICAGO, IL
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CRD#: 6480599
JK
Professional summary
John Klingler is a registered financial advisor currently at SECFI ADVISORY LIMITED located in Chicago, Illinois and SECFI SECURITIES, LLC located in New York, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. John has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO and SIE 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.
KLINGLER INVESTMENTS, LLC, 12437 STRATFORD RIDGE COURT, CREVE COEUR, MO 63141, INVESTMENT RELATED, NATURE OF THE BUSINESS: THE LLC IS FORMED FOR THE PURPOSE OF PURCHASING, OWNING, SELLING AND OTHERWISE DEALING WITH REAL ESTATE, STOCKS, BONDS, MONEY MARKET ACCOUNTS OR OTHER SECURITIES OF ANY KIND OR DESCRIPTION, START DATE: 12/29/2019, TITLE: OWNER, HOURS: ON AVERAGE 0 HOURS, OCCUR DURING BUSINESS HOURS: NO.
CRS (Client Relationship Summary) - RIA
Click below to view John Klingler'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®
NoneExperience
Current
February 13, 2023 - Present
SECFI ADVISORY LIMITED
RIA
CRD#: 306961
CHICAGO, IL
Current
October 25, 2021 - Present
SECFI SECURITIES, LLC
Office #1: 25 Broadway 10th Floor, New York, NY 10004BD
CRD#: 302112
New York, NY
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".
SA
SECFI ADVISORY LIMITED
SECFI | SECFI WEALTH | SECFI ADVISORY LIMITED
CRD#: 306961 / SEC#: 801-126017
RIA
Registered Investment Advisory firm - (7/7/2022 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(12/14/2021)
IAR
New York(2/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/25/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SECFI ADVISORY LIMITED
SECFI | SECFI WEALTH | SECFI ADVISORY LIMITED
CRD#: 306961 / SEC#: 801-126017
RIA
Registered Investment Advisory firm - (7/7/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
25 Broadway 10th Floor, New York, NY 10004
Mailing Address
Phone number
(707) 652-9961
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 88 |
| AUM (Assets Under Management) | $ 174,020,811 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 6/2/2022 |
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.
