Annie C. Klopstock

BURTON ENRIGHT WELCH

Walnut Creek, CA 94596

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CRD#: 7453326

Professional summary

Annie Claire Klopstock is a registered financial advisor currently at BURTON ENRIGHT WELCH located in Walnut Creek, California.

Annie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Annie has worked at 2 firms and has passed the Series 65 exam.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Annie Claire Klopstock'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®

None

Experience

Current

July 31, 2024 - Present

BURTON ENRIGHT WELCH

Office #1: 1850 Mt. Diablo Boulevard Suite 335, Walnut Creek, CA 94596

RIA

CRD#: 118376

Walnut Creek, CA

Past

October 13, 2021 - May 2, 2024

TANDEM INVESTMENT ADVISORS INC

RIA

CRD#: 109392

CHARLESTON, SC

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".

BURTON ENRIGHT WELCH

BURTON ENRIGHT WELCH | BURTON/ENRIGHT GROUP

CRD#: 118376 / SEC#: 801-68890

RIA

Registered Investment Advisory firm - (3/11/2008 Approved)

California

Registered Investment Advisory firm - (3/11/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(7/31/2024)

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 65

Date: 10/4/2021

Uniform Investment Adviser Law Examination

Current Firm

BURTON ENRIGHT WELCH

BURTON ENRIGHT WELCH | BURTON/ENRIGHT GROUP

CRD#: 118376 / SEC#: 801-68890

RIA

Registered Investment Advisory firm - (3/11/2008 Approved)

California

Registered Investment Advisory firm - (3/11/2008 Terminated)

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Contact information

Main Address

1850 Mt. Diablo Boulevard Suite 335, Walnut Creek, CA 94596

Mailing Address

Phone number

(925) 932-8010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BURTON ENRIGHT WELCH FORM ADV PART 2A - FEBRUARY 2025 (2/19/2025)

Regulatory assets under management

Total Number of Accounts	644
AUM (Assets Under Management)	$ 1,245,864,655

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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Annie C. Klopstock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Annie Claire Klopstock's CRS (Customer Relationship Summary).

Certified licenses

Experience

BURTON ENRIGHT WELCH

TANDEM INVESTMENT ADVISORS INC

Primary Firm SEC Registration

BURTON ENRIGHT WELCH

State Registrations and Notice Filings

Exams

Series 65

Date: 10/4/2021

Current Firm

BURTON ENRIGHT WELCH

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BURTON ENRIGHT WELCH

TRUST BUT VERIFY

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