John Earl Klaas

Current Employers

Employment History

• 11/2007 → 06/2021
  Ubs Financial Services Inc
  Chicago, IL
• 06/2021 → Present
  Lpl Financial, Llc
  Schaumburg, IL
• 06/2021 → Present
  Gladstone Wealth Partners
  Schaumburg, IL

Previous Registrations

• 2007-11-16 → 2021-06-22
  Ubs Financial Services Inc.
  Chicago, IL
  Barrington, IL
  Marco Island, FL
• 2007-04-02 → 2007-11-21
  Morgan Stanley & Co. Llc
  Barrington, IL
• 2001-03-28 → 2007-04-02
  Morgan Stanley Dw Inc.
  Barrington, IL
  Barrington, IL

Other Businesses

1)6/2021 - Puzzle Wealth Solutions- DBA for LPL Business (entity for LPL business)- Inv. Related- SCHAUMBURG IL 2)6/2021- PUZZLE WEALTH PARTNERS- Business Entity For Tax/Investment Purposes Only- Inv. Related- SCHAUMBURG IL- start date 5/25/21- 160hrs/mth 3) 6/2021 - BOOK OF BROKERS- Non-Variable Insurance- Agent selling Term and Universal Life -Inv. Related- SCHAUMBURG IL- start date 5/25/2021- 2hrs/mth 4) 6/17/2021 - GLADSTONE INSTITUTIONAL ADVISORY LLC - DBA: (Hybrid) GLADSTONE WEALTH GROUP - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 5/25/2021 - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through GLADSTONE INSTITUTIONAL ADVISORY LLC, an independent investment advisor firm. I started this business activity in 6/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5) 6/23/2021 - GLADSTONE INSTITUTIONAL ADVISORY LLC - DBA: (Hybrid) PUZZLE WEALTH SOLUTIONS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 5/25/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through GLADSTONE INSTITUTIONAL ADVISORY LLC, an independent investment advisor firm. I started this business activity in 6/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 04/26/2022 - Puzzle ICS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 05/02/2022- 60 Hours Per Month/ 20 Hours During Securities Trading 7. 01/04/2023 - Klaas Holdings - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 11/08/2022 - 0 Hours Per Month/0 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-10-06
• S63 Uniform Securities Agent State Law Examination
  1988-08-03

Other Names

• John Earl Klaas
• John Earl Klaas
• John Earl Klaas
• John Earl Klaas Jr
• John Earl Klaas
• John Earl Klaas Jr.