Martin P. 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.
Martin Philip Klein, who also goes by Marty Philip Klein, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1997. Martin had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2016 - January 5, 2026
ATHENE SECURITIES, LLC
April 2, 2012 - April 19, 2012
CETERA FINANCIAL SPECIALISTS LLC
April 2, 2012 - September 27, 2013
ALPHAMAX DISTRIBUTORS, L.L.C.
April 2, 2012 - November 17, 2015
CAPITAL BROKERAGE CORPORATION
September 22, 2008 - April 29, 2011
BARCLAYS CAPITAL INC.
May 11, 1998 - September 22, 2008
LEHMAN BROTHERS INC.
July 11, 1997 - February 4, 1998
DWS DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ATHENE SECURITIES, LLC
CRD#: 36867 / SEC#: , 8-47499
Contact information
FINRA licenses (51 States and Territories)
Red Flags
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