Robert Alan Klein
Professional Summary
Robert Alan Klein, who also goes by Robert A Klein, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Windsor, Connecticut. Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 2 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert A Klein
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
49 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
Contact Information
Main Address
One Orange Way, Windsor, CT 06095Mailing Address
One Orange Way, Windsor, CT 06095Phone Number
+1 (800) 356-2906Established
Minnesota since 04/26/1968Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
638SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
16,337AUM (Assets Under Management)
$3,870,673,693Disclosures
Regulatory Event
36Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
State Registrations and Notice Filings
(9/9/2019)
(1/3/2011)
(4/24/2023)
(1/3/2011)
(1/3/2011)
(6/23/2026)
(1/3/2011)
(3/22/2019)
(4/1/2021)
(1/3/2011)
(1/3/2011)
(6/6/2011)
(1/3/2011)
(1/3/2011)
(10/12/2022)
(1/3/2011)
(11/12/2012)
(9/9/2019)
(1/3/2011)
(1/8/2016)
(7/13/2022)
(7/14/2022)
(1/3/2011)
(4/30/2015)
(10/1/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 2 — Non-Member General Securities Examination
Passed Sep 1977SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Robert Alan Klein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Alan Klein's CRS (Customer Relationship Summary).
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