Hugh E. 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.
Hugh Evans Klein JR, who also goes by Hugh E Klein Jr, Jr Nugh E Klein, was a registered financial professional .
Hugh is a previously registered financial professional and started their career in finance in 1984. Hugh had worked at 4 firms and has passed the Series 63, SIE, Series 3 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
July 13, 2009 - December 20, 2024
SEAPORT GLOBAL SECURITIES LLC
November 28, 1997 - March 28, 2008
CITIGROUP GLOBAL MARKETS INC.
September 21, 1984 - September 1, 1998
SALOMON BROTHERS INC.
July 25, 1984 - September 10, 1984
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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