Howard Alan Klein
Professional Summary
Howard Alan Klein is a registered financial advisor currently at KLEIN ASSET MANAGEMENT LLC located in Boca Raton, Florida. Howard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Howard has worked at 7 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
KLEIN ASSET MANAGEMENT LLC | KLEIN,HOWARD,ALAN
Contact Information
Main Address
Boca Raton, FLPhone Number
(561) 883-9421# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
37AUM (Assets Under Management)
$14,000,000Similar Advisors
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(9/22/2005)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Apr 1999Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Howard Alan Klein's CRS (Customer Relationship Summary).
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