Charles KlumppCRD Number: 1298392
Current Firm: Charles Klumpp Financial LLC
Charles Klumpp (CRD# 1298392) is an Investment Advisor Representative working at Charles Klumpp Financial LLC in Murrieta, CA and has over 24 years of experience in the finance industry.
John P. Dubots Capital Management, LLC
H.d. Vest Advisory Services, Inc.
|Charles Klumpp Financial LLC||Murrieta, CA||Dec 2017 - Current||< 1|
|Sole Proprietor||Murrieta, CA||Jun 2016 - Current||1|
|Waddell & Reed||Riverside, CA||Jun 2016 - Feb 2017||< 1|
|Trilogy Financial||Corona, CA||Feb 2016 - Apr 2016||< 1|
|Transamerica Financial Advisors, Inc.||Murrieta, CA||Sep 2013 - Dec 2015||2|
|Transamerica Financial Advisors, Inc.||Murrieta, CA||Aug 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||Riverside, CA||Dec 2011 - May 2012||< 1|
|Sole Proprietor||Lake Elsinore, CA||Feb 2011 - Jul 2011||< 1|
|Crest Cadillac||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|
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
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
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- Pension consulting services
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- Educational seminars/workshops
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