Spencer L. 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.
Spencer L Klein, who also goes by Spencer Louis Klein, was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 1992. Spencer had worked at 11 firms and has passed the Series 63, Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2008 - June 12, 2012
MAINSTREET ADVISORS
October 1, 2008 - October 6, 2008
J.P. MORGAN SECURITIES LLC
October 1, 2008 - October 6, 2008
J.P. MORGAN SECURITIES LLC
September 27, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
July 1, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
December 7, 2005 - July 1, 2006
BANC ONE SECURITIES CORPORATION
October 28, 2005 - September 27, 2006
BANC ONE SECURITIES CORPORATION
June 2, 2000 - January 11, 2005
JPMORGAN FLEMING ASSET MANAGEMENT
October 8, 1999 - November 30, 1999
NATCITY INVESTMENTS, INC.
September 24, 1996 - November 2, 1998
FELDMAN SECURITIES GROUP L.L.C.
April 27, 1995 - July 22, 1997
CONCORD SERVICES L.L.C.
November 18, 1993 - November 1, 1994
CITIGROUP GLOBAL MARKETS INC.
January 21, 1993 - July 1, 1993
AMERIPRISE ADVISOR SERVICES, INC.
September 25, 1992 - October 21, 1992
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
MAINSTREET ADVISORS
CRD#: 146615 / SEC#: 801-68930
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
Current Firm
MAINSTREET ADVISORS
CRD#: 146615 / SEC#: 801-68930
Contact information
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,683 |
| AUM (Assets Under Management) | $ 5,409,800,392 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/29/2024 | ||
| 01/26/2024 | ||
| 11/28/2022 |
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.
