Daniel R. Klein
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Daniel R Klein, who also goes by Daniel Richard Klein, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1994. Daniel had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2013 - September 9, 2015
TD AMERITRADE, INC.
June 14, 2011 - July 8, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 30, 2008 - June 19, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
September 16, 2008 - June 19, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
July 1, 2003 - September 2, 2008
WELLS FARGO CLEARING SERVICES, LLC
November 2, 1994 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
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 8
Date: 2/27/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
