Larry I. Klein
Professional summary
Larry Ira Klein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Larry is a previously registered financial advisor and started their career in finance in 1985. Prior to being barred, Larry had worked at 7 firms, which includes SENIOR RESOURCES, AMERICAN INVESTMENT SERVICES INC., SOUND ADVICE INVESTMENTS, PRUDENTIAL EQUITY GROUP LLC, GREAT WESTERN FINANCIAL SECURITIES CORPORATION, O. R. SECURITIES INC., WZW FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2002 - April 23, 2005
SENIOR RESOURCES
July 31, 1996 - November 15, 1996
AMERICAN INVESTMENT SERVICES, INC.
June 13, 1995 - January 1, 1996
SOUND ADVICE INVESTMENTS
February 15, 1990 - July 21, 1994
PRUDENTIAL EQUITY GROUP, LLC
February 5, 1990 - February 13, 1990
PRUDENTIAL EQUITY GROUP, LLC
February 28, 1986 - February 15, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
October 8, 1985 - March 10, 1986
O. R. SECURITIES, INC.
May 24, 1985 - October 8, 1985
WZW FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 9/10/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
Red Flags
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