Kendall KlausCRD Number: 1270347
Current Firm: Securities America Advisors, Inc.
Kendall Klaus (CRD# 1270347) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Wichita, KS and has over 33 years of experience in the finance industry. Kendall Klaus has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Cambridge Investment Research Advisors, Inc.
Ameriprise Financial Services, Inc.
|Ken Klaus||Wichita, KS||Jul 2002 - Current||14|
|Securities America Advisors, Inc.||Wichita, KS||Jun 2002 - Current||15|
|Securities America, Inc.||Wichita, KS||Jun 2002 - Current||15|
|Ids Life Insurance Company||Minneapolis, MN||May 1984 - Dec 2006||22|
|American Express Financial Advisors, Inc.||Wichita, KS||May 1984 - Dec 2006||22|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1984|
|S65||NASAA Investment Advisors Law Examination||Jun 1994|
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:
- Regulatory Event
Total Assets Under Management13,433MILLIONS
Total Number of Accounts92,356ACCOUNTS
Average Account Value$145,443
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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