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Inactive

Stephen Carl Klingler

Cerity Partners LLC

Indianapolis, IN

New York, NY

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Current Employers
Cerity Partners Llc

99 Park Avenue 16Th Floor, New York, NY 10016 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2026-01-02
IN RA APPROVED 2023-02-27
  • KY RA
    APPROVED
    Since 2026-01-02
  • IN RA
    APPROVED
    Since 2023-02-27

Branch Locations

5750 Castle Creek Parkway Drive North, Indianapolis, IN 46250 • United States

99 Park Avenue 16Th Floor, New York, NY 10016 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Scottrade, Inc. Evansville IN 04/2014 02/2018
Td Ameritrade, Inc. Evansville IN 02/2018 04/2020
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 04/2020
Argi Investment Services Louisville KY 05/2020 02/2023
Cerity Partners Llc Indianapolis IN 02/2023 Present
  • 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
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-24
S63 Uniform Securities Agent State Law Examination 2015-02-13
  • S66 Uniform Combined State Law Examination
    2017-04-24
  • S63 Uniform Securities Agent State Law Examination
    2015-02-13
Designations
Other Names
  • Stephen Klingler

View on SEC IAPD

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