Jarrett B. Kling
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.
Jarrett Burt Kling was a registered financial professional .
Jarrett is a previously registered financial professional and started their career in finance in 1982. Jarrett had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 1997 - June 18, 1999
SEI INVESTMENTS DISTRIBUTION CO.
August 18, 1995 - January 4, 2023
CBRE INVESTMENT MANAGEMENT LISTED REAL ASSETS LLC
October 7, 1993 - December 31, 1996
CRESAP, INC.
May 30, 1991 - December 31, 1992
EDWARD C. RORER & CO., INC.
February 21, 1989 - June 12, 1989
W.H. NEWBOLD'S SON & CO., INC.
October 19, 1988 - March 2, 1989
HOPPER SOLIDAY & CO., INC.
March 21, 1985 - February 9, 1988
KIDDER, PEABODY & CO. INCORPORATED
March 25, 1982 - December 13, 1984
W.H. NEWBOLD'S SON & CO., INC.
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
SEI INVESTMENTS DISTRIBUTION CO.
CRD#: 10690 / SEC#: , 8-27897
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SEI INVESTMENTS COMPANY | SHAREHOLDER | |
| CAMPISI, JENNIFER HICKMAN | CHIEF COMPLIANCE OFFICER, ASST SECRETARY | 5299753 |
| COARY, JOHN PATRICK | TREASURER, CFO | 2551648 |
| CROWE, KEVIN FRANCIS | DIRECTOR | 2109967 |
| DORAN, WILLIAM M | DIRECTOR | 1476724 |
| KLAUDER, PAUL FRANCIS | DIRECTOR, PRESIDENT, CEO | 2474240 |
| MCGHIN, JASON MICHAEL | COO | 3119188 |
| MUNCH, JOHN CHARLES | SECRETARY, GENERAL COUNSEL | 4739576 |
Disclosures
| Regulatory Event | 4 |
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.
