Adam P. Klein
Professional summary
Adam Peter Klein was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Adam is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Adam had worked at 9 firms, which includes LH ROSS & COMPANY INC., GUNNALLEN FINANCIAL INC, YANKEE FINANCIAL GROUP INC., VALLEY FORGE SECURITIES INC ., MAGNUM SECURITIES OF NEW YORK INC., LCP CAPITAL CORP., SHAMROCK PARTNERS LTD, J.P. TURNER & COMPANY L.L.C., J.W. BARCLAY & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2002 - October 11, 2002
LH ROSS & COMPANY, INC.
February 7, 2002 - August 23, 2002
GUNNALLEN FINANCIAL, INC
October 8, 2001 - February 7, 2002
YANKEE FINANCIAL GROUP, INC.
January 22, 2001 - October 16, 2001
VALLEY FORGE SECURITIES, INC .
June 20, 2000 - December 15, 2000
MAGNUM SECURITIES OF NEW YORK INC.
June 28, 1999 - June 30, 2000
LH ROSS & COMPANY, INC.
November 30, 1998 - June 22, 1999
LCP CAPITAL CORP.
May 20, 1998 - December 31, 1998
SHAMROCK PARTNERS, LTD
February 4, 1998 - May 18, 1998
J.P. TURNER & COMPANY, L.L.C.
September 11, 1996 - January 16, 1998
J.W. BARCLAY & CO., INC.
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
Series 62
Date: 9/10/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
Red Flags
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