Clayton J. Klein
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Clayton Joseph Klein, who also goes by Clay Klein, was a registered financial professional .
Clayton is a previously registered financial professional and started their career in finance in 1982. Clayton had worked at 7 firms and has passed the Series 66, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2005 - December 24, 2013
FAMILY WEALTH CONSULTANTS, INC.
September 15, 2003 - November 8, 2004
KESTRA INVESTMENT SERVICES, LLC
February 18, 1999 - September 9, 2003
FAMILY WEALTH CONSULTANTS, INC.
February 6, 1998 - November 8, 2004
KESTRA INVESTMENT SERVICES, LLC
August 31, 1994 - December 31, 1997
WOODBURY FINANCIAL SERVICES, INC.
April 13, 1987 - July 8, 1991
FEDERATION FOR FINANCIAL INDEPENDENCE
October 4, 1984 - February 20, 1987
FOOTHILL SECURITIES, INC.
July 21, 1982 - August 30, 1994
JOHN HANCOCK DISTRIBUTORS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FAMILY WEALTH CONSULTANTS, INC.
CRD#: 128494 / SEC#: 801-126223
Contact information
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 21,095,715 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 11/19/2024 | ||
| 11/28/2023 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
