Michael Klein
Professional summary
Michael Klein, who also goes by Michael S Klein, Michael Stuart Klein, is a registered financial professional currently at THE KLEIN GROUP, LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 3 firms and has passed the Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Klein's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 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 10019April 1, 1998 - September 1, 1998
SALOMON BROTHERS INC.
March 2, 1998 - September 18, 2008
CITIGROUP GLOBAL MARKETS INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
THE KLEIN GROUP, LLC
CRD#: 46472 / SEC#: , 8-51430
Contact information
FINRA licenses (7 States and Territories)
Documents
Red Flags
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