Stephen B. 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.
Stephen Bradley Klein, CFP®, who also goes by Steve Klein, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2020 - October 28, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
February 3, 2020 - October 28, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
July 28, 2009 - September 12, 2019
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
January 2, 2009 - September 12, 2019
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
November 28, 2006 - January 2, 2009
RIVERSOURCE DISTRIBUTORS, INC.
October 1, 1992 - December 31, 2006
IDS LIFE INSURANCE COMPANY
October 1, 1992 - January 24, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 6, 1989 - August 4, 1992
CETERA INVESTMENT SERVICES LLC
November 3, 1987 - January 7, 1989
INVEST FINANCIAL CORPORATION
April 6, 1987 - October 27, 1987
ASKAR CORP.
October 28, 1986 - March 9, 1987
WADDELL & REED
September 4, 1986 - October 13, 1986
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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 7TO
Date: 3/5/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/5/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
