Kenneth H. Klein

SEELAUS ASSET MANAGEMENT

Chatham, NJ 07928

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CRD#: 1775678

Professional summary

Kenneth Harris Klein, who also goes by Kenny Klein, is a registered financial advisor currently at SEELAUS ASSET MANAGEMENT, LLC located in Chatham, New Jersey.

Kenneth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Kenneth has worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kenny Klein

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.

BREEDING AND RACING STANDARDBRED HORSES. OWN MINORITY EQUITY INTEREST IN 3STANDARDBRED HORSES. TERM OF ACTIVITY - MORE THAN 15 YEARS TO PRESENT. 0 HOURS SPENT DURING BUSINESS HOURS. COMPENSATION - N/A, DUE TO LOSS IN RECENT YEAR.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Harris Klein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 31, 2017 - Present

SEELAUS ASSET MANAGEMENT, LLC

Office #1: 26 Main Street Suite 304, Chatham, NJ 07928

RIA

CRD#: 149582

Chatham, NJ

Past

December 20, 2013 - September 3, 2015

MC ASSET MANAGEMENT AMERICAS, LTD.

CRD#: 23330

STAMFORD, CT

Past

May 28, 2009 - December 31, 2011

ALADDIN CAPITAL LLC

CRD#: 103766

STAMFORD, CT

Past

January 9, 2003 - April 1, 2009

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

February 1, 2002 - January 6, 2003

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

CRD#: 24074

NEW YORK, NY

Past

December 18, 2000 - February 1, 2002

COMMERZ MARKETS LLC

CRD#: 41957

NEW YORK, NY

Past

February 21, 1996 - November 29, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 15, 1989 - November 20, 1995

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

January 19, 1988 - May 23, 1989

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SEELAUS ASSET MANAGEMENT, LLC

GRANITE SPRINGS ASSET MANAGEMENT, LLC | SUNNYMEATH ASSET MANAGEMENT, INC | SEELAUS ASSET MANAGEMENT, LLC | NAME 806

CRD#: 149582 / SEC#: 801-77641

RIA

Registered Investment Advisory firm - (2/15/2013 Approved)

New Jersey

Registered Investment Advisory firm - (3/28/2013 Terminated)

New York

Registered Investment Advisory firm - (3/28/2013 Terminated)

South Carolina

Registered Investment Advisory firm - (3/28/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(1/31/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/3/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/16/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 3

Date: 3/23/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/22/2004

General Securities Principal Examination

Current Firm

SEELAUS ASSET MANAGEMENT, LLC

GRANITE SPRINGS ASSET MANAGEMENT, LLC | SUNNYMEATH ASSET MANAGEMENT, INC | SEELAUS ASSET MANAGEMENT, LLC | NAME 806

CRD#: 149582 / SEC#: 801-77641

RIA

Registered Investment Advisory firm - (2/15/2013 Approved)

New Jersey

Registered Investment Advisory firm - (3/28/2013 Terminated)

New York

Registered Investment Advisory firm - (3/28/2013 Terminated)

South Carolina

Registered Investment Advisory firm - (3/28/2013 Terminated)

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Contact information

Main Address

26 Main Street Suite 304, Chatham, NJ 07928

Mailing Address

Phone number

(212) 935-0755

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEELAUS ASSET MANAGEMENT , LLC FORM ADV PART 2 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	484
AUM (Assets Under Management)	$ 1,552,973,774

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.

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Kenneth H. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Harris Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

MC ASSET MANAGEMENT AMERICAS, LTD.

ALADDIN CAPITAL LLC

COMMERZ MARKETS LLC

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

COMMERZ MARKETS LLC

UBS FINANCIAL SERVICES INC.

CIBC WORLD MARKETS CORP.

SALOMON BROTHERS INC.

Primary Firm SEC Registration

SEELAUS ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/22/1997

SIE

Date: 9/3/2015

Series 55

Date: 2/16/2007

Series 3

Date: 3/23/1989

Series 7

Date: 1/16/1988

Series 24

Date: 1/22/2004

Current Firm

SEELAUS ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SEELAUS ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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