Michael 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.
Michael Robert Klein, who also goes by Mike Klein, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2014 - December 17, 2018
USAA FINANCIAL ADVISORS, INC.
June 25, 2010 - December 18, 2018
USAA INVESTMENT SERVICES COMPANY
June 25, 2010 - December 18, 2018
USAA INVESTMENT SERVICES COMPANY
January 2, 2009 - June 25, 2010
USAA FINANCIAL PLANNING SERVICES
September 25, 2007 - June 25, 2010
USAA FINANCIAL ADVISORS, INC.
November 17, 2006 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
November 9, 2006 - December 31, 2008
USAA INVESTMENT SERVICES COMPANY
May 26, 2005 - November 28, 2005
USAA INVESTMENT SERVICES COMPANY
May 26, 2005 - November 28, 2005
USAA INVESTMENT SERVICES COMPANY
March 28, 2005 - May 27, 2005
USAA FEDERAL SAVINGS BANK
January 2, 2004 - July 14, 2004
USAA FINANCIAL ADVISORS, INC.
June 27, 1997 - July 14, 2004
USAA FINANCIAL PLANNING SERVICES
June 27, 1997 - December 31, 2003
USAA INVESTMENT SERVICES COMPANY
June 19, 1992 - February 26, 1997
USAA INVESTMENT SERVICES COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
Contact information
Documents
Red Flags
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