Simon Liegel has been Chief Compliance Officer of CLF Asset Management since April 2016, is a control person of the firm and directly owns between 50% and 75% of it. Simon Liegel holds a Bachelor's Degree in Finance from the University of Wisconsin-La Crosse.
CLF Asset Management, Inc. is a Madison, WI firm with $147M under management, 386 clients and 5 advisers in one office, as of its March 2026 filing.
Simon M. Liegel is Managing Partner of CLF Asset Management, Inc. He entered the financial services industry in 2007 and has built his practice through client interaction. His specializations include retirement planning and asset management.
Simon Liegel’s longest registration is the current one, 10 years at CLF Asset Management since 2016. Before joining CLF Asset Management in 2016, Simon Liegel was registered through Woodbury Financial Services, Inc. and Signator Investors, Inc.
- CLF Asset Management, Inc.Current– present · 10 yearsMadison, WI · Adviser representative · Firm CRD 284060
- Woodbury Financial Services, Inc.– · 4 yearsMadison, WI · Adviser representative · Firm CRD 421
- Signator Investors, Inc.– · under a yearMadison, WI · Adviser representative · Firm CRD 468
Professional designations
Listed by CLF Asset Management
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Chartered Financial Consultant (ChFC®)
Investment adviser representative registrations
Simon Liegel is registered as an investment adviser representative in Wisconsin, since June 2016.
- WisconsinSince 27 June 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 3 June 2013 |
| Series 65 | Uniform Investment Adviser Law Examination | 28 July 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 August 2007 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 7 August 2007 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Simon M Liegel
- CRD
- 5382538
- Firm
- CLF Asset Management · CRD 284060
- Role
- Chief Compliance Officer
- Office
- 999 FOURIER DRIVE, SUITE 301, Madison, WI 53717
- Registration
- Investment adviser registration
- In the industry since
- August 2011
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- clfasset.com
Where does Simon Liegel work?
Simon Liegel has been Chief Compliance Officer of CLF Asset Management, Inc. since April 2016, and is a control person of the firm.
Is Simon Liegel a financial advisor?
Yes. Simon Liegel has a current investment-adviser registration in Wisconsin, through CLF Asset Management since June 2016.
How many years of experience does Simon Liegel have?
Simon Liegel has 15 years in the financial industry, since August 2011, across 3 adviser firms.
What exams has Simon Liegel passed?
Simon Liegel has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in August 2007. FINRA credited Simon Liegel with the SIE, which began in October 2018.
Where did Simon Liegel work before CLF Asset Management?
Before CLF Asset Management, Simon Liegel was registered through Signator Investors, Inc., August 2011 to November 2011.
Where is Simon Liegel based?
Simon Liegel’s registered office is in Madison, WI.
Is Simon Liegel registered with FINRA?
No. Simon Liegel has no current broker registration.
Is Simon Liegel a CFP?
CLF Asset Management lists Simon Liegel with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Simon Liegel’s record?
Search CRD 5382538 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Simon Liegel’s full registration record.
