Steven L. Klosterman

HALBERT HARGROVE

BOULDER, CO

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CRD#: 715600

Professional summary

Steven Leo Klosterman, AIF® is a registered financial advisor currently at HALBERT HARGROVE located in Boulder, Colorado.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Steven has worked at 7 firms and has passed the Series 63, Series 2, Series 7 and Series 39 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) KLOSTERMAN FAMILY PARTNERSHIP; INVESTMENT RELATED; CARLSBAD, CA; FAMILY GENERAL PARTNERSHIP INVESTING IN REAL ESTATE AND SECURITIES; GENERAL PARTNER; PARTNERSHIP FORMED 03/23/2001; 8 HOURS PER MONTH; NONE DURING TRADING HOURS. 2) KLOSTERMAN CAPITAL CORPORATION; NOT INVESTMENT RELATED; SAN DIEGO, CA; BACK-OFFICE SUPPORT; CHAIRMAN; BECAME CHAIRMAN ONLY 04/28/2006; 8 HOURS PER MONTH; NONE DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Leo Klosterman'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

April 14, 2004 - Present

HALBERT HARGROVE

Office #2: 4643 S Ulster Street Suite 220, Denver, CO 80237

RIA

CRD#: 105515

BOULDER, CO

Past

June 9, 1995 - April 28, 2006

HALBERT HARGROVE

RIA

CRD#: 110941

CARLSBAD, CA

Past

March 14, 1988 - November 6, 1989

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

Past

March 21, 1986 - September 16, 1987

SWIFT ENERGY MARKETING COMPANY

CRD#: 17422

Past

June 12, 1985 - June 12, 1987

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

Past

December 22, 1981 - April 16, 1985

INCAP FINANCIAL CORPORATION

CRD#: 10197

Past

September 23, 1980 - August 10, 1981

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

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".

HALBERT HARGROVE

FUTURE-WISE | HALBERT, HARGROVE/RUSSELL LLC | HALBERT HARGROVE RUSSELL LLC | HALBERT HARGROVE GLOBAL ADVISORS, LLC | HALBERT HARGROVE

CRD#: 105515 / SEC#: 801-33048

RIA

Registered Investment Advisory firm - (10/13/1988 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

California
(4/14/2004)

IAR

Colorado
(1/20/2023)

IAR

Texas
(12/14/2012)

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

Series 63

Date: 3/25/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 2

Date: 4/10/1995

Non-Member General Securities Examination

General Industry/Product Exam

Series 7

Date: 9/20/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 39

Date: 5/22/1981

Direct Participation Programs Principal Examination

Current Firm

HALBERT HARGROVE

FUTURE-WISE | HALBERT, HARGROVE/RUSSELL LLC | HALBERT HARGROVE RUSSELL LLC | HALBERT HARGROVE GLOBAL ADVISORS, LLC | HALBERT HARGROVE

CRD#: 105515 / SEC#: 801-33048

RIA

Registered Investment Advisory firm - (10/13/1988 Approved)

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Contact information

Main Address

111 West Ocean Boulevard 23rd Floor, Long Beach, CA 90802-7908

Mailing Address

P.o. Box 1070, Long Beach, CA 90801-9931

Phone number

(562) 435-5657

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,671
AUM (Assets Under Management)	$ 3,516,418,609

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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Firm Stability Insights

Steven L. Klosterman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Leo Klosterman's CRS (Customer Relationship Summary).

Certified licenses

Experience

HALBERT HARGROVE

INDEPENDENT FINANCIAL GROUP, LLC

SWIFT ENERGY MARKETING COMPANY

TRANSAMERICA CAPITAL, LLC

INCAP FINANCIAL CORPORATION

SOUTHMARK FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

HALBERT HARGROVE

State Registrations and Notice Filings

Exams

Series 63

Date: 3/25/1982

Series 2

Date: 4/10/1995

Series 7

Date: 9/20/1980

Series 39

Date: 5/22/1981

Current Firm

HALBERT HARGROVE

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HALBERT HARGROVE

TRUST BUT VERIFY

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