Jeffrey S. Klein
Professional summary
Jeffrey Stephen Klein is a registered financial professional currently at JONES LANG LASALLE SECURITIES, LLC located in Charlotte, North Carolina.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1992. Jeffrey has worked at 4 firms and has passed the Series 63, Series 6TO, Series 7TO, SIE, Series 50, Series 82, Series 52, Series 7, Series 6 and Series 54 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Stephen Klein's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 22, 2020 - Present
JONES LANG LASALLE SECURITIES, LLC
Office #1: 4064 Colony Road Suite 400, Charlotte, NC 28211January 14, 2016 - December 26, 2019
PIEDMONT SECURITIES LLC
March 20, 2000 - December 31, 2003
BANC OF AMERICA SECURITIES LLC
July 22, 1992 - November 9, 1992
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/22/2020)
(9/22/2020)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 10/6/2021
General Securities Representative ExaminationFINRA
Current Firm
JONES LANG LASALLE SECURITIES, LLC
CRD#: 120738 / SEC#: , 8-65341
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES LANG LASALLE AMERICAS, INC. | DIRECT OWNER | |
| JOSEPH, MICHAEL SCOTT | MANAGING PRINCIPAL / CHIEF OPERATIONS OFFICER | 4231268 |
| CASHDAN, DANIEL MICHAEL | PRESIDENT AND GENERAL SECURITIES PRINCIPAL | 1910672 |
| DORFMAN, ESTEE CARLA | PRINCIPAL FINANCIAL OFFICER | 2696529 |
| DORFMAN, ESTEE CARLA | FINANCIAL OPERATIONS PRINCIPAL | 2696529 |
| DOWNING, JAMES ROTH | PRINCIPAL OPERATIONS OFFICER | 5514806 |
| DOWNING, JAMES ROTH | CHIEF COMPLIANCE OFFICER | 5514806 |
Red Flags
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