DK
Daniel J. Klein
RFG ADVISORY
CREVE COEUR, MO 63141
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CRD#: 2549756
DK
Professional summary
Daniel Jordan Klein, CFP®, who also goes by Dan Klein, Daniel Klein, is a registered financial advisor currently at RFG ADVISORY, LLC located in Creve Coeur, Missouri and PRIVATE CLIENT SERVICES, LLC located in Creve Coeur, Missouri.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Daniel has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Investment Planning
Education Planning
Employee and Employer Plan Ben...
Estate Planning
Comprehensive Financial Planni...
Insurance Planning
Are you a "fiduciary"?
Yes
Aliases
Dan Klein | Daniel Klein
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.
1) RFG Advisory LLC; Investment Related; Three City Place Drive, Suite 590, Creve Coeur, MO 63141; DBA; Investment Advisor; Start: 8/1/2014; 160 hrs/mo; 160 during trading hrs.; DBA name for insurance and advisory activity. 2) RFG Advisory LLC; Investment Related; 1400 Urban Center, Ste 475, Vestavia Hills, AL 35242; RIA; 08/01/2014; 160 hrs/mo; 160 during trading hrs.; RIA Affiliate; Investment Advisor Representative. 3) KLEIN WEALTH MANAGEMENT, LLC; NON-INVESTMENT RELATED; 33 Heather Hill Lane, Olivette, MO 63132; PERSONAL LLC FOR TAX PURPOSES; OWNER; 11/09/2009; 0 hours/month; 0 during trading hours 4) Assigner/STL STRIPES, LLC; NON-INVESTMENT RELATED; 33 Heather Hill Lane, Olivette, MO 63132, Youth basketball league, youth basketball referee; start date 11/05/2023; 16 hrs/mo, 0 hrs during trading. 5) CRUMP INSURANCE; INVESTMENT-RELATED; 4135 NORTH FRONT STREET, HARRISBURG, PA 17110; LIFE/HEALTH/P&C/ANNUITY INSURANCE; INSURANCE AGENT; START 08/2014; 80 HOURS/MONTH DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Jordan Klein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2008
Experience
Current
August 11, 2014 - Present
RFG ADVISORY, LLC
Office #1: Three City Dr Suite 590, Creve Coeur, MO 63141RIA
CRD#: 158401
CREVE COEUR, MO
Current
June 4, 2018 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: Three City Place Drive Suite 590, Creve Coeur, MO 63141RIA
BD
CRD#: 120222
Creve Coeur, MO
Past
April 9, 2009 - October 28, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
CREVE COEUR, MO
Past
April 9, 2009 - June 8, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
CREVE COEUR, MO
Past
November 17, 1999 - April 17, 2009
OSAIC WEALTH, INC.
RIA
CRD#: 23131
ST.LOUIS, MO
Past
April 6, 1998 - August 10, 2009
WEALTH MANAGEMENT ADVISORS, INC.
RIA
CRD#: 115433
ST. LOUIS, MO
Past
September 8, 1995 - April 17, 2009
OSAIC WEALTH, INC.
BD
CRD#: 23131
ST.LOUIS, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RA
RFG ADVISORY, LLC
21:5 ADVISORS WEALTH MANAGEMENT | WINGO WEALTH | WILLOW PRIVATE WEALTH | WILLIAMS FINANCIAL ADVISORS, LLC "WFA" | VOLARE WEALTH ADVISORS | TURNPOINT WEALTH | TREKNORTH INVESTMENT MANAGEMENT | THE WORLEY BANKS GROUP | SUSKO WEALTH ADVISORS | STRODTMAN WEALTH MANAGEMENT | STONES RIVER WEALTH MANAGEMENT | SIXPOINT FINANCIAL PARTNERS | SABLE POINT WEALTH MANAGEMENT | RVA WEALTH MANAGEMENT | ROUTE FINANCIAL GROUP | RJB FINANCIAL PLANNING | RIVER OAK ASSET ADVISORY | RFG ADVISORY, LLC | RFG ADVISORY GROUP, LLC | RFG ADVISORY | RESOLUTE WEALTH MANAGEMENT | RELIANCE FINANCIAL GROUP | PARAMOUNT FINANCIAL PLANNING | NAVIPATH FINANCIAL | META PRIVATE WEALTH | MATTERHORN PRIVATE WEALTH | LIND WEALTH MANAGEMENT | LICATA FINANCIAL DESIGN | LEMZAR CAPITAL | LEALAND WEALTH PARTNERS | LANDSCAPE WEALTH ADVISORS | L7 WEALTH | KWM WEALTH | KUBERA WEALTH MANAGEMENT | ITER FINANCIAL WELLNESS | INVESTOR'S RESOURCE | INVESTA FINANCIAL PLANNING | IN SEASON FINANCIAL GROUP | GROUNDED FINANCIAL PLANNING | GFG WEALTH ADVISORS | GALLIA WEALTH MANAGEMENT GROUP | FREEMAN WEALTH MANAGEMENT | FOUR SEASONS WEALTH MANAGEMENT | FOUR SEASONS FINANCIAL EDUCATION | EXECUTIVE COMPENSATION GROUP | ETA INVESTMENTS | ETA INVESTMENT & TAX ADVISORS | ENTERPRISE INVESTMENT PLANNING | EDUCATOR RETIREMENT SOLUTIONS | EDUCATOR PENSION RESOURCES | EDGEWOOD WEALTH ADVISORS | DESIGN WEALTH ADVISORS | CURATO ADVISORY | CROSS TIMBERS FINANCIAL GROUP | CRESCENT PRIVATE WEALTH | COPPER PASS ADVISORY | COPE PRIVATE WEALTH | COOPER TOWER WEALTH | CONFIDENCE FINANCIAL PARTNERS | CMC FINANCIAL | CHEAHA WEALTH MANAGEMENT | CARDINAL ASSET ADVISORY | CAMBIUM WEALTH PARTNERS | BRIANNE FINANCIAL | BLUEBIRD ADVISORY | BLUE SANDS WEALTH MANAGEMENT | BLAKE WEALTH MANAGEMENT | BILLINGS GROUP | BAYVIEW PRIVATE WEALTH | BARRETT CAPITAL ADVISORY | BALANCEPOINT FINANCIAL | BALANCE WEALTH PARTNERS | ARIV WEALTH | APPLE TREE LANE WEALTH MANAGEMENT | ANCHORING CAPITAL | AIMWELL FINANCIAL | AFIA WEALTH MANAGEMENT
CRD#: 158401 / SEC#: 801-79153
RIA
Registered Investment Advisory firm - (2/6/2014 Approved)Alabama
Registered Investment Advisory firm - (2/27/2014 Terminated)Florida
Registered Investment Advisory firm - (2/18/2014 Terminated)Georgia
Registered Investment Advisory firm - (2/18/2014 Terminated)Louisiana
Registered Investment Advisory firm - (2/28/2014 Terminated)Texas
Registered Investment Advisory firm - (2/18/2014 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/4/2018)
RR
Colorado(6/4/2018)
RR
Florida(6/4/2018)
RR
Illinois(6/4/2018)
RR
Indiana(6/4/2018)
RR
Kansas(12/20/2022)
RR
Kentucky(10/9/2018)
RR
Maryland(5/21/2025)
RR
Massachusetts(6/4/2018)
IAR
Missouri(8/11/2014)
RR
Missouri(6/4/2018)
RR
New York(3/3/2025)
RR
North Carolina(6/4/2018)
RR
Washington(9/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RA
RFG ADVISORY, LLC
21:5 ADVISORS WEALTH MANAGEMENT | WINGO WEALTH | WILLOW PRIVATE WEALTH | WILLIAMS FINANCIAL ADVISORS, LLC "WFA" | VOLARE WEALTH ADVISORS | TURNPOINT WEALTH | TREKNORTH INVESTMENT MANAGEMENT | THE WORLEY BANKS GROUP | SUSKO WEALTH ADVISORS | STRODTMAN WEALTH MANAGEMENT | STONES RIVER WEALTH MANAGEMENT | SIXPOINT FINANCIAL PARTNERS | SABLE POINT WEALTH MANAGEMENT | RVA WEALTH MANAGEMENT | ROUTE FINANCIAL GROUP | RJB FINANCIAL PLANNING | RIVER OAK ASSET ADVISORY | RFG ADVISORY, LLC | RFG ADVISORY GROUP, LLC | RFG ADVISORY | RESOLUTE WEALTH MANAGEMENT | RELIANCE FINANCIAL GROUP | PARAMOUNT FINANCIAL PLANNING | NAVIPATH FINANCIAL | META PRIVATE WEALTH | MATTERHORN PRIVATE WEALTH | LIND WEALTH MANAGEMENT | LICATA FINANCIAL DESIGN | LEMZAR CAPITAL | LEALAND WEALTH PARTNERS | LANDSCAPE WEALTH ADVISORS | L7 WEALTH | KWM WEALTH | KUBERA WEALTH MANAGEMENT | ITER FINANCIAL WELLNESS | INVESTOR'S RESOURCE | INVESTA FINANCIAL PLANNING | IN SEASON FINANCIAL GROUP | GROUNDED FINANCIAL PLANNING | GFG WEALTH ADVISORS | GALLIA WEALTH MANAGEMENT GROUP | FREEMAN WEALTH MANAGEMENT | FOUR SEASONS WEALTH MANAGEMENT | FOUR SEASONS FINANCIAL EDUCATION | EXECUTIVE COMPENSATION GROUP | ETA INVESTMENTS | ETA INVESTMENT & TAX ADVISORS | ENTERPRISE INVESTMENT PLANNING | EDUCATOR RETIREMENT SOLUTIONS | EDUCATOR PENSION RESOURCES | EDGEWOOD WEALTH ADVISORS | DESIGN WEALTH ADVISORS | CURATO ADVISORY | CROSS TIMBERS FINANCIAL GROUP | CRESCENT PRIVATE WEALTH | COPPER PASS ADVISORY | COPE PRIVATE WEALTH | COOPER TOWER WEALTH | CONFIDENCE FINANCIAL PARTNERS | CMC FINANCIAL | CHEAHA WEALTH MANAGEMENT | CARDINAL ASSET ADVISORY | CAMBIUM WEALTH PARTNERS | BRIANNE FINANCIAL | BLUEBIRD ADVISORY | BLUE SANDS WEALTH MANAGEMENT | BLAKE WEALTH MANAGEMENT | BILLINGS GROUP | BAYVIEW PRIVATE WEALTH | BARRETT CAPITAL ADVISORY | BALANCEPOINT FINANCIAL | BALANCE WEALTH PARTNERS | ARIV WEALTH | APPLE TREE LANE WEALTH MANAGEMENT | ANCHORING CAPITAL | AIMWELL FINANCIAL | AFIA WEALTH MANAGEMENT
CRD#: 158401 / SEC#: 801-79153
RIA
Registered Investment Advisory firm - (2/6/2014 Approved)Alabama
Registered Investment Advisory firm - (2/27/2014 Terminated)Florida
Registered Investment Advisory firm - (2/18/2014 Terminated)Georgia
Registered Investment Advisory firm - (2/18/2014 Terminated)Louisiana
Registered Investment Advisory firm - (2/28/2014 Terminated)Texas
Registered Investment Advisory firm - (2/18/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245
Mailing Address
Phone number
(205) 397-2450
Established
Firm type
Fiscal year end
# of Employees
277
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 23,999 |
| AUM (Assets Under Management) | $ 6,120,333,343 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RFG ADVISORY, LLC
CRD#: 158401Creve Coeur, MO 63141TRUST BUT VERIFY
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Contact information
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