Thelma 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.
Thelma Klein, who also goes by Tery Klein, was a registered financial advisor .
Thelma is a previously registered financial advisor and started their career in finance in 1993. Thelma had worked at 14 firms and has passed the Series 65, Series 63, SIE 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 23, 2018 - November 5, 2018
MORGAN STANLEY
January 9, 2009 - October 30, 2018
UBS FINANCIAL SERVICES INC.
January 3, 2008 - January 21, 2009
CITIGROUP GLOBAL MARKETS INC.
October 15, 2007 - October 16, 2007
CHASE INVESTMENT SERVICES CORP.
February 13, 2007 - October 16, 2007
CHASE INVESTMENT SERVICES CORP.
August 27, 2002 - June 30, 2006
MCGINN, SMITH & CO., INC.
April 29, 2002 - August 22, 2002
RYAN BECK & CO.
August 16, 2001 - May 20, 2002
GRUNTAL & CO., L.L.C.
December 21, 1999 - August 3, 2001
PRIME CHARTER LTD.
October 9, 1998 - September 24, 1999
BISHOP, ROSEN & CO., INC.
May 17, 1996 - April 6, 1998
BLUESTONE CAPITAL CORP.
June 13, 1995 - December 15, 1995
BUTTONWOOD SECURITIES, INC.
January 30, 1995 - June 23, 1995
DICKINSON & CO.
November 11, 1994 - April 24, 1995
ROBERT TODD FINANCIAL CORP.
July 7, 1993 - November 11, 1994
WESTFIELD FINANCIAL CORPORATION
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
