Thomas G. Kleine
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.
Thomas Gregory Kleine, who also goes by Tom Kleine, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2005 - December 31, 2019
ADVANCED RETIREMENT STRATEGIES INC.
March 29, 2001 - November 14, 2003
OSAIC FS, INC.
November 11, 1997 - June 22, 2001
LOCUST STREET SECURITIES, INC.
July 25, 1996 - November 10, 1997
WALNUT STREET SECURITIES, INC.
September 19, 1994 - July 23, 1996
OSAIC FS, INC.
January 14, 1994 - September 8, 1994
CENTAURUS FINANCIAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ADVANCED RETIREMENT STRATEGIES INC.
CRD#: 133422 / SEC#:
Contact information
Red Flags
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