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GK

Grace D. Klopstad

WESTEND ADVISORS
CHARLOTTE, NC 28203
Some features on this profile are disabled
CRD#: 7495300
GK
Grace Dawn KlopstadWESTEND ADVISORS

Professional summary

Grace Dawn Klopstad, who also goes by Grace Klopstad, is a registered financial advisor currently at WESTEND ADVISORS, LLC located in Charlotte, North Carolina and VICTORY CAPITAL SERVICES, INC. located in Charlotte, North Carolina.

Grace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Grace has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Aliases

Grace Klopstad

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.
Access/supervised person of Principal Global Investors, LLC and will perform certain functions for Principal Global Investors, Inc and its affiliates.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Grace Dawn Klopstad'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

September 14, 2026 - Present

WESTEND ADVISORS, LLC

Office #1: 1001 Morehead Square Drive Suite 600, Charlotte, NC 28203
RIA
CRD#: 133279
CHARLOTTE, NC
Current

September 14, 2026 - Present

VICTORY CAPITAL SERVICES, INC.

Office #1: 1001 Morehead Square Drive Suite 600, Charlotte, NC 28203
BD
CRD#: 37059
Charlotte, NC
Past

March 18, 2025 - June 24, 2025

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Charlotte, NC
Past

April 21, 2022 - September 1, 2026

PRINCIPAL ASSET MANAGEMENT

RIA
CRD#: 109002
Des Moines, IA
Past

March 14, 2022 - September 1, 2026

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
Charlotte, NC

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".
WA
WESTEND ADVISORS, LLC
SOUTHVIEW PARTNERS | WESTEND ADVISORS, LLC | SOUTHVIEW PARTNERS, LLC

CRD#: 133279 / SEC#: 801-63626

RIA
Registered Investment Advisory firm - (3/18/2005 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
Alabama
(9/14/2026)
RR
Alaska
(9/14/2026)
RR
Arizona
(9/14/2026)
RR
Arkansas
(9/14/2026)
RR
California
(9/14/2026)
RR
Colorado
(9/14/2026)
RR
Connecticut
(9/14/2026)
RR
Delaware
(9/14/2026)
RR
District of Columbia
(9/14/2026)
RR
Florida
(9/14/2026)
RR
Georgia
(9/14/2026)
RR
Hawaii
(9/14/2026)
RR
Idaho
(9/14/2026)
RR
Illinois
(9/14/2026)
RR
Indiana
(9/14/2026)
RR
Iowa
(9/14/2026)
RR
Kansas
(9/14/2026)
RR
Kentucky
(9/14/2026)
RR
Louisiana
(9/14/2026)
RR
Maine
(9/14/2026)
RR
Maryland
(9/14/2026)
RR
Massachusetts
(9/14/2026)
RR
Michigan
(9/14/2026)
RR
Minnesota
(9/14/2026)
RR
Mississippi
(9/14/2026)
RR
Missouri
(9/14/2026)
RR
Montana
(9/14/2026)
RR
Nebraska
(9/14/2026)
RR
Nevada
(9/14/2026)
RR
New Hampshire
(9/14/2026)
RR
New Jersey
(9/14/2026)
RR
New Mexico
(9/14/2026)
RR
New York
(9/14/2026)
RR
North Carolina
(9/14/2026)
IAR
North Carolina
(9/14/2026)
RR
North Dakota
(9/14/2026)
RR
Ohio
(9/15/2026)
RR
Oklahoma
(9/14/2026)
RR
Oregon
(9/14/2026)
RR
Pennsylvania
(9/14/2026)
RR
Rhode Island
(9/14/2026)
RR
South Carolina
(9/14/2026)
RR
South Dakota
(9/14/2026)
RR
Tennessee
(9/14/2026)
RR
Texas
(9/14/2026)
RR
Utah
(9/14/2026)
RR
Vermont
(9/14/2026)
RR
Virginia
(9/14/2026)
RR
Washington
(9/14/2026)
RR
West Virginia
(9/14/2026)
RR
Wisconsin
(9/14/2026)
RR
Wyoming
(9/14/2026)

Exams

What does exam status mean?
State Security Law Exam
RR
IAR
Series 66
Status Unavailable
Passed: 4/18/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Status Unavailable
Passed: 3/12/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 2/5/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

WA
WESTEND ADVISORS, LLC
SOUTHVIEW PARTNERS | WESTEND ADVISORS, LLC | SOUTHVIEW PARTNERS, LLC

CRD#: 133279 / SEC#: 801-63626

RIA
Registered Investment Advisory firm - (3/18/2005 Approved)
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Contact information

Main Address
1001 Morehead Square Drive Suite 600, Charlotte, NC 28203
Mailing Address
Phone number
(704) 556-9300
Established
Firm type
Fiscal year end
# of Employees
29

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WESTEND ADVISORS LLC FORM ADV PART 2B 1.30.2026 (1/30/2026)
WESTEND ADVISORS LLC FORM ADV PART 2A 1.30.2026 (1/30/2026)

Regulatory assets under management

Total Number of Accounts4,149
AUM (Assets Under Management)$ 1,868,015,699

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.

Company Information

WESTEND ADVISORS, LLC

CRD#: 133279Charlotte, NC 28203

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