Howard A. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Howard Alan Klein's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 22, 2005 - Present
KLEIN ASSET MANAGEMENT LLC
August 26, 2005 - December 18, 2008
GRACE FINANCIAL GROUP LLC
December 3, 2002 - August 9, 2005
REVERE SECURITIES LLC
September 18, 1998 - August 14, 2001
NAVILLUS SECURITIES, INC.
September 2, 1997 - September 8, 1997
ON-SITE TRADING, INC.
September 26, 1995 - October 2, 1995
SCHON-EX LLC
July 5, 1995 - July 5, 1995
SCHONFELD SECURITIES, LLC
October 22, 1992 - December 3, 1993
SCHONFELD SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/22/2005)
Exams
Series 55
Date: 4/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
KLEIN ASSET MANAGEMENT LLC
CRD#: 136536 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 62 |
| AUM (Assets Under Management) | $ 13,800,000 |
Red Flags
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