Alexander William Klaas

Current Employers

Employment History

• 06/2016 → 06/2021
  Ubs Financial Services
  Barrington, IL
• 06/2021 → Present
  Lpl Financial, Llc
  Schaumburg, IL
• 06/2021 → Present
  Gladstone Wealth Partners
  Schaumburg, IL

Previous Registrations

• 2016-11-21 → 2021-06-22
  Ubs Financial Services Inc.
  Barrington, IL

Other Businesses

1) 06/11/2021 - Business Entity For Tax/Investment Purposes Only - PUZZLE WEALTH PARTNERS - Investment Related - Schaumburg, IL 60173 - Start Date: 05/25/2021 - 160 Hrs/Mth - 8 Hrs During Trading. 2) 06/11/2021- DBA for LPL Business (entity for LPL business) - Gladstone Wealth Partners - Investment Related - Schaumburg, IL 60173. 3) 6/11/2021 - PUZZLE WEALTH SOLUTIONS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 4)06/11/2021- Non-Variable Insurance - BOOK OF BROKERS - Investment Related - Schaumburg, IL 60173 - Start Date: 05/25/2021 - 2 Hrs/Mth - 2 Hrs During Trading. 5) 6/11/2021 - ALEXANDER WILLIAM KLAAS 2020 DECLARATION OF TRUST - Not Investment Related - Home Based - Act in a Fiduciary Capacity - Trustee/Owner/Grantor - Started 05/21/2021 - 1 Hour Per Month - Time Spent 3%. 6) 6/15/2021 - GLADSTONE INSTITUTIONAL ADVISORY LLC - DBA: (Hybrid) Gladstone Wealth Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/25/2021 - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through GLADSTONE INSTITUTIONAL ADVISORY, an independent investment advisor firm. I started this business activity in 01/2021. I expect to spend approximately 80 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. 7) 6/15/2021 - GLADSTONE INSTITUTIONAL ADVISORY - 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, an independent investment advisor firm. I started this business activity in 01/2021. I expect to spend approximately 80 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. 8) 01/04/2023 - Lineage Portfolios - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 11/08/2022 - 1 Hour Per Month/0 Hours During Securities Trading. 9) 10/01/2025 - SuranceBay - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:09/30/2025 - 1 Hrs/Mth - 0 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2016-11-21