Howard Klieger has been Managing Director / Co-Founder of Walled Lake Planning & Wealth Management since December 2018, is a control person of the firm and directly owns between 50% and 75% of it. Howard Klieger holds a BS in Economics from State University of New York at Buffalo and an MBA from Emory University.
Walled Lake Planning & Wealth Management, LLC is a Highland Park, IL firm with $732M under management, 369 clients and 5 advisers in one office, as of its March 2026 filing.
Howard Klieger is Founder, Managing Partner and Principal of Walled Lake Planning & Wealth Management. He has advised clients in personal finance and investments for over 43 years, starting his career as a stockbroker. He developed a team strategy for client service and continues as the first point of contact for many clients while helping expand the firm’s service offerings.
Howard Klieger’s longest registration was 14 years at RBC Capital Markets, LLC (2003–2018). Before joining Walled Lake Planning & Wealth Management in 2018, Howard Klieger was registered through RBC Capital Markets, LLC and Fahnestock Asset Management.
- – present · 7 yearsHighland Park, IL · Adviser representative · Firm CRD 299595
- RBC Capital Markets, LLC– · 14 yearsWinnetka, IL · Adviser representative · Firm CRD 31194
- Fahnestock Asset Management– · under a yearChicago, IL · Adviser representative · Firm CRD 249
- CIBC World Markets Corp.– · 4 yearsChicago, IL · Adviser representative · Firm CRD 630
Investment adviser representative registrations
Howard Klieger is registered as an investment adviser representative in Illinois, since December 2018.
- IllinoisSince 7 December 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 15 September 1993 |
| Series 15 | Foreign Currency Options Examination | 30 October 1985 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 December 1981 |
| Series 7 | General Securities Representative Examination | 21 November 1981 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Foreign Currency Options Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Howard Robert Klieger
- CRD
- 1020955
- Firm
- Walled Lake Planning & Wealth Management · CRD 299595
- Role
- Managing Director / Co-Founder
- Office
- 600 ELM PLACE, Highland Park, IL 60035
- Registration
- Investment adviser registration
- In the industry since
- March 1982
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- wlpwm.com
Where does Howard Klieger work?
Howard Klieger has been Managing Director / Co-Founder of Walled Lake Planning & Wealth Management, LLC since December 2018, and is a control person of the firm.
Is Howard Klieger a financial advisor?
Yes. Howard Klieger has a current investment-adviser registration in Illinois, through Walled Lake Planning & Wealth Management since December 2018.
How many years of experience does Howard Klieger have?
Howard Klieger has 44 years in the financial industry, since March 1982, across 4 adviser firms.
What exams has Howard Klieger passed?
Howard Klieger has passed 4 licensing exams: the Series 7, Series 63, Series 15 and Series 65. The earliest, the Series 7, was passed in November 1981. FINRA credited Howard Klieger with the SIE, which began in October 2018.
Where did Howard Klieger work before Walled Lake Planning & Wealth Management?
Before Walled Lake Planning & Wealth Management, Howard Klieger was registered through RBC Capital Markets, LLC, September 2003 to August 2018; Fahnestock Asset Management, January 2003 to September 2003; CIBC World Markets Corp., August 1998 to January 2003.
Where is Howard Klieger based?
Howard Klieger’s registered office is in Highland Park, IL.
Is Howard Klieger registered with FINRA?
No. Howard Klieger has no current broker registration.
How can I verify Howard Klieger’s record?
Search CRD 1020955 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Howard Klieger’s full registration record.
- Gery SadzewiczChief Compliance Officer
Noel CooperManaging Director / Co-Founder
Zachary WaltersChief Investment Officer and Principal