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MK

Mark D. Klein

THE KLEIN GROUP
New York, NY 10019
Some features on this profile are disabled
CRD#: 1783756
MK

Professional summary

Mark David Klein is a registered financial professional currently at THE KLEIN GROUP, LLC located in New York, New York.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 15 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark David Klein's 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

April 20, 2010 - Present

THE KLEIN GROUP, LLC

Office #1: 640 Fifth Avenue 12th Floor, New York, NY 10019Office #2: 640 5th Avenue 12th Floor, New York, NY 10019
BD
CRD#: 46472
New York, NY
Past

November 30, 2017 - July 25, 2018

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY
Past

October 21, 2015 - November 30, 2017

B. RILEY & CO., LLC

BD
CRD#: 40355
NEW YORK, NY
Past

September 5, 2013 - May 31, 2019

B. RILEY CAPITAL MANAGEMENT

RIA
CRD#: 160510
New York, NY
Past

April 20, 2010 - July 16, 2010

THE KLEIN GROUP, LLC

BD
CRD#: 46472
NEW YORK, NY
Past

April 14, 2005 - April 26, 2012

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA
CRD#: 108604
NEW YORK, NY
Past

April 8, 2005 - April 26, 2012

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

January 2, 2001 - April 4, 2005

NBGI SECURITIES INC.

BD
CRD#: 104322
NEW YORK, NY
Past

February 2, 1999 - March 19, 2001

NEWBROOK SECURITIES, LLC

BD
CRD#: 45774
NEW YORK, NY
Past

May 12, 1997 - March 25, 1999

DJS SECURITIES LIMITED

BD
CRD#: 13353
NEW YORK, NY
Past

August 1, 1994 - June 4, 1997

MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.

BD
CRD#: 18032
NEW YORK, NY
Past

March 11, 1994 - July 8, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

July 31, 1993 - April 7, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 26, 1990 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

August 2, 1988 - March 13, 1990

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

December 22, 1987 - May 31, 1988

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(7/19/2010)
RR
New York
(7/19/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/12/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/12/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/11/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/22/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TK
THE KLEIN GROUP, LLC
CAPITALINK, L.C. | THE KLEIN GROUP, LLC

CRD#: 46472 / SEC#: , 8-51430

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
640 5th Avenue 12th Floor, New York, NY 10019
Mailing Address
640 5th Avenue 12th Floor, New York, NY 10019
Phone number
(212) 409-2412
Established
Florida since 09/29/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
M.KLEIN AND COMPANY, LLCDIRECT OWNER
KLEIN, MARK DAVIDCEO, MANAGING MEMBER1783756
KLEIN, MICHAEL STUARTPRINCIPAL1890478
MENDOLA, JOSEPH ANGELOCCO, EXECUTIVE REP, AML CCO2876577
TARAGIN, LEE JAYCHIEF FINANCIAL OFFICER

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.

Company Information

THE KLEIN GROUP, LLC

CRD#: 46472New York, NY 10019

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