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PP

Peter M. Phelan

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CRD#: 1188622
PP

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.

Peter Malcolm Phelan was a registered financial professional .

Peter is a previously registered financial professional and started their career in finance in 1983. Peter had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 11, 2013 - December 11, 2025

THE KLEIN GROUP, LLC

BD
CRD#: 46472
New York, NY
Past

November 28, 1997 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

December 3, 1991 - March 14, 2012

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

April 3, 1988 - March 5, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

March 8, 1985 - September 16, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

September 23, 1983 - January 11, 1985

FAHNESTOCK INTERNATIONAL INC.

BD
CRD#: 279

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/25/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/12/2001
General Securities Principal Examination

Current Firm

TK
THE KLEIN GROUP, LLC
CAPITALINK, L.C. | THE KLEIN GROUP, LLC

CRD#: 46472 / SEC#: , 8-51430

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
640 5th Avenue 12th Floor, New York, NY 10019
Mailing Address
640 5th Avenue 12th Floor, New York, NY 10019
Phone number
(212) 409-2412
Established
Florida since 09/29/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
M.KLEIN AND COMPANY, LLCDIRECT OWNER
KLEIN, MARK DAVIDCEO, MANAGING MEMBER1783756
KLEIN, MICHAEL STUARTPRINCIPAL1890478
MENDOLA, JOSEPH ANGELOCCO, EXECUTIVE REP, AML CCO2876577
TARAGIN, LEE JAYCHIEF FINANCIAL OFFICER

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.

Company Information

THE KLEIN GROUP, LLC

CRD#: 46472

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