Charles Klumpp, financial advisor Riverside CA
93 score

Charles Klumpp

CRD Number: 1298392
Current Firm: Waddell & Reed

Charles Klumpp (CRD# 1298392) is an Investment Advisor Representative working at Waddell & Reed in Riverside, CA and has over 23 years of experience in the finance industry.

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Company Name Location Dates Years
Various Insurance Carriers For W&r Insurance Agencies Menifee, CA Jun 2016 - Current < 1
Waddell & Reed Inc. Riverside, CA Jun 2016 - Current < 1
Unemployed Menifee, CA Apr 2016 - Jun 2016 < 1
Trilogy Financial Services Corona, CA Feb 2016 - Apr 2016 < 1
Unemployed Menifee, CA Dec 2015 - Feb 2016 < 1
Transamerica Financial Advisors, Inc. Murrieta, CA May 2013 - Dec 2015 2
Access West Insurance Murrieta, CA Jul 2012 - Nov 2015 3
Don Davis Toyota Arlington, TX Aug 2011 - Oct 2012 1
Farmers Insurance Group Riverside, CA Dec 2011 - May 2012 < 1
Self Employed Lake Elsinore, CA Feb 2011 - Jul 2011 < 1
Crest Caddilac Plano, TX Feb 2004 - Jul 2011 7
Southwest Ford Weatherford, TX Jul 2010 - Jan 2011 < 1
Lenders Direct Mortgage Corona, CA Apr 2004 - Jun 2010 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1993
S65 NASAA Investment Advisors Law Examination May 2001
S66 NASAA Uniform Combined State Law Examination Sep 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Charles F. Klumpp
Phone Number: 913-236-2000
Firm Website: http://www.waddell.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    18,309
    MILLIONS
  • Total Number of Accounts
    149,599
    ACCOUNTS
  • Average Account Value
    $122,387
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93

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