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AK

Adam P. Klein

Some features on this profile are disabled
CRD#: 2686322
AK

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

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 23, 2002 - October 11, 2002

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

February 7, 2002 - August 23, 2002

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

October 8, 2001 - February 7, 2002

YANKEE FINANCIAL GROUP, INC.

BD
CRD#: 17966
MELVILLE, NY
Past

January 22, 2001 - October 16, 2001

VALLEY FORGE SECURITIES, INC .

BD
CRD#: 20892
ROSEMONT, PA
Past

June 20, 2000 - December 15, 2000

MAGNUM SECURITIES OF NEW YORK INC.

BD
CRD#: 39267
NEW YORK, NY
Past

June 28, 1999 - June 30, 2000

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

November 30, 1998 - June 22, 1999

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY
Past

May 20, 1998 - December 31, 1998

SHAMROCK PARTNERS, LTD

BD
CRD#: 23955
MEDIA, PA
Past

February 4, 1998 - May 18, 1998

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

September 11, 1996 - January 16, 1998

J.W. BARCLAY & CO., INC.

BD
CRD#: 23350
WOODBRIDGE, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/6/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 62
Date: 9/10/1996
Corporate Securities Limited Representative Examination

Current Firm

LR
LH ROSS & COMPANY, INC.
LH ROSS & COMPANY, INC.

CRD#: 37920 / SEC#: , 8-47990

BD
Cancelled by SEC on 10/04/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 11/03/1994
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LH ROSS HOLDING CORP.PARENT COMPANY
MICHELIN, FRANKLYN ROSSPRESIDENT2459180

Disclosures

Regulatory Event31
Arbitration15

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.

Company Information

LH ROSS & COMPANY, INC.

CRD#: 37920

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