Robert H. 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.
Robert Howard Klein, CFP®, who also goes by Bob Klein, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1986
Experience
February 2, 2007 - January 4, 2023
RETIREMENT INCOME CENTER
January 15, 2004 - December 31, 2006
COMMONWEALTH FINANCIAL NETWORK
January 15, 2004 - December 31, 2006
COMMONWEALTH FINANCIAL NETWORK
December 7, 1998 - March 8, 2004
AVANTAX ADVISORY SERVICES
July 13, 1998 - February 17, 2004
AVANTAX INVESTMENT SERVICES, INC.
December 24, 1986 - November 28, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
August 21, 1986 - December 24, 1986
AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.
September 24, 1985 - November 17, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
September 24, 1985 - November 28, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
February 21, 1985 - November 20, 1986
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
RETIREMENT INCOME CENTER
CRD#: 142528 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 21 |
| AUM (Assets Under Management) | $ 18,188,202 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
