AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
MK

Marshall S. Klein

Some features on this profile are disabled
CRD#: 1314414
MK

Professional summary

Marshall Scott Klein was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Marshall is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Marshall had worked at 11 firms, which includes WORLD TRADE FINANCIAL CORPORATION, CENTEX SECURITIES INCORPORATED, PACIFIC CORTEZ SECURITIES INCORPORATED, SAN MARINO SECURITIES INC., FIRST AMERICA EQUITIES CORP., ADAMS SECURITIES INC., MARSHALL DAVIS INC., BURNETT GREY & CO. INC., GREENTREE SECURITIES CORP., BROOKS WEINGER ROBBINS & LEEDS INC., VANDERBILT SECURITIES INC..

top-8-questions

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

August 13, 2001 - September 16, 2004

WORLD TRADE FINANCIAL CORPORATION

BD
CRD#: 42638
SAN DIEGO, CA
Past

May 13, 1999 - August 10, 2001

CENTEX SECURITIES, INCORPORATED

BD
CRD#: 18493
LA JOLLA, CA
Past

December 21, 1994 - April 29, 1999

PACIFIC CORTEZ SECURITIES INCORPORATED

BD
CRD#: 24341
SAN DIEGO, CA
Past

October 6, 1992 - November 4, 1994

CENTEX SECURITIES, INCORPORATED

BD
CRD#: 18493
LA JOLLA, CA
Past

September 25, 1990 - February 27, 1991

SAN MARINO SECURITIES, INC.

BD
CRD#: 18588
Past

March 26, 1990 - September 13, 1991

FIRST AMERICA EQUITIES CORP.

BD
CRD#: 7652
Past

August 21, 1989 - January 23, 1990

ADAMS SECURITIES, INC.

BD
CRD#: 16688
Past

July 10, 1989 - August 8, 1989

MARSHALL DAVIS, INC.

BD
CRD#: 16278
Past

May 18, 1989 - June 5, 1989

BURNETT, GREY & CO., INC.

BD
CRD#: 23430
Past

December 17, 1988 - August 8, 1989

MARSHALL DAVIS, INC.

BD
CRD#: 16278
Past

May 9, 1988 - December 12, 1988

GREENTREE SECURITIES CORP.

BD
CRD#: 7372
Past

May 30, 1985 - February 3, 1988

BROOKS WEINGER ROBBINS & LEEDS INC.

BD
CRD#: 14156
Past

October 26, 1984 - June 6, 1985

VANDERBILT SECURITIES, INC.

BD
CRD#: 14280

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: 8/29/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/1984
General Securities Representative Examination

Current Firm

WT
WORLD TRADE FINANCIAL CORPORATION
AMBER SECURITIES CORPORATION | WORLD TRADE FINANCIAL CORPORATION

CRD#: 42638 / SEC#: , 8-49944

BD
Terminated by SEC on 02/10/2015
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 07/18/1996
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MICHEL, RODNEY PRESTONCEO/PRESIDENT1275392
MICHEL, RODNEY PRESTONFINOP1275392
ADAMS, JASON TROYVICE PRESIDENT2137404
BLUE DIAMOND CAPITAL, LLCSHAREHOLDER/OWNER
DOLAN, JAMES MICHAELCHIEF COMPLIANCE OFFICER1089125

Disclosures

Regulatory Event9

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

WORLD TRADE FINANCIAL CORPORATION

CRD#: 42638

TRUST BUT VERIFY

Monitor Marshall Klein

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics