Anders P. 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.
Anders Peter Klein, who also goes by Peter Klein, was a registered financial professional .
Anders is a previously registered financial professional and started their career in finance in 1984. Anders had worked at 5 firms and has passed the Series 66, Series 63, Series 55, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2009 - October 30, 2015
FOX RUN MANAGEMENT LLC
June 12, 2001 - August 12, 2009
FOX RUN ALPHA FUND, L.P.
June 20, 1996 - July 3, 1997
PERSHING LLC
April 4, 1995 - June 6, 1996
RBC CAPITAL MARKETS CORPORATION
February 22, 1984 - March 22, 1995
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
FOX RUN MANAGEMENT LLC
CRD#: 149092 / SEC#: 801-106745
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 55
Date: 3/2/2001
Limited Representative-Equity Trader ExamCurrent Firm
FOX RUN MANAGEMENT LLC
CRD#: 149092 / SEC#: 801-106745
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 686,735,352 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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