Kevin K. Klein

LIS

Urbandale, IA

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CRD#: 2128175

Professional summary

Kevin Keith Klein is a registered financial advisor currently at LIS INC located in Urbandale, Iowa.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Kevin has worked at 7 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 24, Series 10 and Series 9 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.

KEVIN KLEIN IS A LICENSED LIFE INSURANCE AGENT AND SPENDS 1% OF HIS TIME IN THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Keith Klein's CRS (Customer Relationship Summary).

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WEST DES MOINES, IA

Past

April 19, 2007 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

RIA

CRD#: 5979

WEST DES MOINES, IA

Past

August 29, 2005 - October 5, 2009

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

WEST DES MOINES, IA

Past

January 4, 1999 - August 31, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

March 12, 1991 - January 4, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

Iowa
(9/23/2017)

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

IAR

Series 65

Date: 5/26/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/20/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 6/16/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/11/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/5/2009

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 4/27/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/25/2006

General Securities Sales Supervisor - Options Module Examination

Current Firm

LIS INC

LIFESTYLES INVESTMENT STRATEGIES, INC | LIS INC

CRD#: 289168 / SEC#:

Iowa

Registered Investment Advisory firm - (9/15/2017 Approved)

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Contact information

Main Address

Urbandale, IA

Mailing Address

Phone number

(515) 210-6614

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	96
AUM (Assets Under Management)	$ 25,592,967

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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Kevin K. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Keith Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

RIA ADVISORY GROUP, LLC

NORTHWEST WEALTH MANAGEMENT, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

EDWARD JONES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/2006

Series 63

Date: 3/20/1991

Series 31

Date: 6/16/2006

Series 7

Date: 3/11/1991

Series 24

Date: 11/5/2009

Series 10

Date: 4/27/2006

Series 9

Date: 4/25/2006

Current Firm

LIS INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LIS INC

TRUST BUT VERIFY

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