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Howard Robert Klieger

Walled Lake Planning & Wealth Management, LLC

Highland Park, IL

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Current Employers
Walled Lake Planning & Wealth Management, Llc

600 Elm Place, Highland Park, IL 60035 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2018-12-07
  • IL RA
    APPROVED
    Since 2018-12-07

Branch Locations

600 Elm Place, Highland Park, IL 60035 • 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
Rbc Capital Markets Llc Chicago IL 03/2008 08/2018
City National Bank Chicago IL 08/2016 08/2018
Walled Lake Planning & Wealth Management, Llc Chicago IL 12/2018 Present
Self-Employed Chicago IL 08/2018 12/2018
Previous Registrations
Other Businesses

(1) ILLINOIS DEPARTMENT OF INSURANCE; INVESTMENT RELATED; INSURANCE LICENSE; HOURS VARY BASED ON CLIENT NEEDS; SERVICING OF ACCOUNTS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-09-15
S63 Uniform Securities Agent State Law Examination 1981-12-09
  • S65 Uniform Investment Adviser Law Examination
    1993-09-15
  • S63 Uniform Securities Agent State Law Examination
    1981-12-09

View on SEC IAPD

Other Firms

STATE FARM INVESTMENT MANAGEMENT CORP.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CITIGROUP GLOBAL MARKETS INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
EDWARD JONES
INSIGHT SECURITIES, INC.
PRECISE INVESTMENT MANAGEMENT, INC.

Other Investors

NOEL ADAM COOPER
ZACHARY HAROLD WALTERS
LOUIS BURTON KLIEGER
BLAKE S SCIERA
WYATT REED DOWLING
BRADLEY CORDES
KAREN M FINERMAN
BENJAMIN MOSHE LESHEM

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Highland Park, IL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · HIGHLAND PARK, IL
CITIGROUP GLOBAL MARKETS INC. · HIGHLAND PARK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HIGHLAND PARK, IL
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. · HIGHLAND PARK, IL
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. · HIGHLAND PARK, IL
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. · HIGHLAND PARK, IL
EDWARD JONES · Highland Park, IL

More in Highland Park, IL

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