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Detailed Report
KLAUS GERHARD STEINKE
KLAUS STEINKE, Klaus G Steinke
CRD#: 5182198
IA
Investment Adviser
B
Previous Broker
AVIOR WEALTH MANAGEMENT, LLCCRD#: 148674 14301 FIRST NATIONAL BANK PARKWAY
SUITE 410
OMAHA, NE 68154
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - 2009 (<1 year)2 FIRMS2011 - 2017 (6 years)2 FIRMS2020 - 2021 (1 year)IAAVIOR WEALTH MANAGEMENT, LLC (CRD# 148674)2021 - Present (3 years)IACHANGE PATH LLC (CRD# 281213)2017 - 2019 (2 years)
Disclosure(s)
View By:
4/7/2014
Customer Dispute
Settled
License(s)

State Registrations

IA
Iowa 11/17/2021
IA
Nebraska 11/18/2021
Current Registration(s)
IA
AVIOR WEALTH MANAGEMENT, LLC (CRD#:148674)
14301 FIRST NATIONAL BANK PARKWAY SUITE 410, OMAHA, NE 68154
Registered with this firm since 11/17/2021
Previous Registration(s)
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IA
 03/13/2020 - 11/15/2021 SILVER OAK SECURITIES, INC. (CRD#:46947) Creston, IA
B
 09/29/2020 - 11/15/2021 SILVER OAK SECURITIES, INCORPORATED (CRD#:46947) Creston, IA
IA
 11/16/2017 - 11/05/2019 CHANGE PATH LLC (CRD#:281213) OMAHA, NE
IA
 01/14/2011 - 10/09/2017 STRATEGIC ADVISERS, INC. (CRD#:104555) OMAHA, NE
B
 01/04/2011 - 10/06/2017 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) OMAHA, NE
IA
 10/08/2009 - 12/22/2009 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) OMAHA, NE
B
 10/06/2009 - 12/22/2009 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) OMAHA, NE
IA
 06/29/2007 - 07/09/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OMAHA, NE
B
 06/27/2007 - 07/09/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OMAHA, NE
IA
 10/27/2006 - 06/21/2007 EDWARD JONES (CRD#:250) OMAHA, NE
B
 10/03/2006 - 06/21/2007 EDWARD JONES (CRD#:250) OMAHA, NE
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.