Neil D. Klein

CARRET ASSET MANAGEMENT

New York, NY 10017

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CRD#: 1940962

Professional summary

Neil Douglas Klein is a registered financial advisor currently at CARRET ASSET MANAGEMENT, LLC located in New York, New York.

Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Neil has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Neil Douglas 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

June 12, 2021 - Present

CARRET ASSET MANAGEMENT, LLC

Office #1: 360 Madison Avenue 20th Floor, New York, NY 10017

RIA

CRD#: 131445

New York, NY

Past

August 4, 2005 - June 16, 2008

ABNER HERRMAN & BROCK, LLC

RIA

CRD#: 8517

JERSEY CITY, NJ

Past

August 4, 2005 - June 16, 2008

ABNER HERRMAN & BROCK, LLC

CRD#: 8517

JERSEY CITY, NJ

Past

April 1, 2003 - August 2, 2005

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

February 10, 1997 - April 8, 2003

CIBC WORLD MARKETS CORP.

RIA

CRD#: 630

NEW YORK, NY

Past

November 6, 1996 - April 8, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

September 25, 1992 - November 20, 1996

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

Past

April 27, 1989 - October 22, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

CARRET ASSET MANAGEMENT, LLC

CRD#: 131445 / SEC#: 801-63093

RIA

Registered Investment Advisory firm - (5/17/2004 Approved)

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 York
(6/12/2021)

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

IAR

Series 65

Date: 11/12/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/22/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/15/1989

General Securities Representative Examination

Current Firm

CARRET ASSET MANAGEMENT, LLC

CRD#: 131445 / SEC#: 801-63093

RIA

Registered Investment Advisory firm - (5/17/2004 Approved)

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Contact information

Main Address

360 Madison Avenue 20th Floor, New York, NY 10017

Mailing Address

Phone number

(212) 593-3800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (35 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARRET ASSET MANAGEMENT LLC FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,588
AUM (Assets Under Management)	$ 3,232,347,470

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/27/2025	Cover Page	Report
10/25/2024	Cover Page	Report
12/21/2023	Cover Page	Report
11/28/2022	Cover Page	Report

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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Firm Stability Insights

Neil D. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Douglas Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

ABNER HERRMAN & BROCK, LLC

ABNER HERRMAN & BROCK, LLC

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

FAM DISTRIBUTORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CARRET ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/1992

Series 63

Date: 6/22/1989

Series 7

Date: 4/15/1989

Current Firm

CARRET ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARRET ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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