Kenneth M. Klein
Professional summary
Kenneth Michael Klein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kenneth is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Kenneth had worked at 5 firms, which includes FIRST PROVIDENCE FINANCIAL GROUP LLC, WALSH MANNING SECURITIES LLC, MAIDSTONE FINANCIAL INC., FIRST ASSET MANAGEMENT INC., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 1997 - December 14, 2001
FIRST PROVIDENCE FINANCIAL GROUP, LLC
October 11, 1995 - October 29, 1997
WALSH MANNING SECURITIES, LLC
December 15, 1994 - September 13, 1995
MAIDSTONE FINANCIAL, INC.
June 13, 1994 - December 6, 1994
FIRST ASSET MANAGEMENT, INC.
February 11, 1991 - August 7, 1993
STRATTON OAKMONT INC.
State Registrations and Notice Filings
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Exams
Current Firm
FIRST PROVIDENCE FINANCIAL GROUP, LLC
CRD#: 39469 / SEC#: , 8-48710
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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