Michael G. 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.
Michael Gary Klein, who also goes by Michael C Klein, Michael G Klein, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1984. Michael had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2010 - November 13, 2014
FINANCIAL WEST GROUP
June 2, 2005 - November 7, 2006
THE SHEMANO GROUP, INC.
January 2, 2004 - January 24, 2007
CERTUITY, LLC
June 8, 2000 - September 7, 2000
DPEC CAPITAL, INC.
June 16, 1994 - January 6, 2009
KLEIN INVESTMENT GROUP, L.P.
February 22, 1994 - April 24, 1995
JEFFERIES LLC
August 26, 1993 - February 24, 1994
CP INVESTMENTS, LLC
May 26, 1989 - July 27, 1993
GRUNTAL & CO., L.L.C.
October 26, 1984 - June 15, 1989
J.P. MORGAN SECURITIES 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
Series 1
Date: 11/26/1971
Registered Representative ExaminationCurrent Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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.
