Stephen Carl Klingler

Employer firm

Cerity Partners LLC CRD 151559

$162B regulatory AUM 53 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2014 → 02/2018
  Scottrade, Inc.
  Evansville, IN
• 02/2018 → 04/2020
  Td Ameritrade, Inc.
  Evansville, IN
• 02/2018 → 04/2020
  Td Ameritrade Investment Management, Llc
  Omaha, NE
• 05/2020 → 02/2023
  Argi Investment Services
  Louisville, KY
• 02/2023 → Present
  Cerity Partners Llc
  Indianapolis, IN

Previous Registrations

• 2020-05-19 → 2023-04-21
  Cerity Partners Ocio Llc
  New York, NY
• 2018-02-27 → 2020-04-24
  Td Ameritrade, Inc.
  Evansville, IN
• 2018-02-26 → 2020-04-24
  Td Ameritrade Investment Management, Llc
  Omaha, NE
  Evansville, IN
• 2017-04-24 → 2018-02-26
  Scottrade Investment Management
  Saint Louis, MO

Exams

• S66 Uniform Combined State Law Examination
  2017-04-24
• S63 Uniform Securities Agent State Law Examination
  2015-02-13

Designations

• Certified Financial Planner

Other Names

• Stephen Klingler