AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AK

Albert M. Klein

Some features on this profile are disabled
CRD#: 271309
AK

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.

Albert Moe Klein, who also goes by Albert M Klein, was a registered financial professional .

Albert is a previously registered financial professional and started their career in finance in 1968. Albert had worked at 11 firms and has passed the Series 63, PC and Series 40 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Albert M 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.
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

March 25, 2010 - May 1, 2013

J.H. DARBIE & CO., INC.

BD
CRD#: 43520
NEW YORK, NY
Past

January 26, 2009 - March 30, 2010

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
NEW YORK, NY
Past

March 26, 2001 - January 26, 2009

HCFP BRENNER SECURITIES, LLC

BD
CRD#: 46003
NEW YORK, NY
Past

June 1, 1999 - March 19, 2001

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

October 23, 1998 - June 1, 1999

STUART, COLEMAN & CO., INC.

BD
CRD#: 8642
NEW YORK, NY
Past

July 24, 1998 - October 21, 1998

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

February 20, 1998 - July 24, 1998

THE BOSTON GROUP

BD
CRD#: 37652
LOS ANGELES, CA
Past

October 6, 1989 - February 27, 1998

HAMPSHIRE SECURITIES CORPORATION

BD
CRD#: 19725
NEW YORK, NY
Past

April 12, 1988 - October 14, 1988

OPPENHEIMER & CO. INC.

BD
CRD#: 249
Past

April 1, 1988 - April 12, 1988

FAHNESTOCK INTERNATIONAL INC.

BD
CRD#: 279
Past

December 10, 1969 - April 1, 1988

OPPENHEIMER & CO. INC.

BD
CRD#: 249
Past

April 26, 1968 - March 25, 1971

HERTZ, WARNER & CO.

BD
CRD#: 405

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: 4/6/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 9/7/1977
AMEX Put and Call Exam
Principal/Supervisory Exam
RR
Series 40
Date: 12/22/1967
Registered Principal Examination

Current Firm

JD
J.H. DARBIE & CO., INC.
J.H. DARBIE & CO., INC. | J.H. DARBIE ADVISORY

CRD#: 43520 / SEC#: , 8-50335

Arizona
Registered Investment Advisory firm - SEC (7/3/2024 Approved)
New Jersey
Registered Investment Advisory firm - SEC (1/7/2008 Approved)
New York
Registered Investment Advisory firm - SEC (1/7/2008 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
48 Wall St., Suite 1206. Suite 1206, New York, NY 10005
Mailing Address
48 Wall St., Suite 1206. C/o Robert Rabinowitz, New York, NY 10005
Phone number
(212) 269-7271
Established
New York since 06/03/1997
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
5

FINRA licenses (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
RABINOWITZ, ROBERT YPRES, GSP2821450
ANDERSON, ERIK JASONCHIEF COMPLIANCE OFFICER2686661
MATSIS, MICHAEL AAMLCO1455158
NAVEED, HASNAINFINOP, POO, PFO7004810
0

Disclosures

Regulatory Event10
Civil Event1
Arbitration1

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

J.H. DARBIE & CO., INC.

CRD#: 43520

TRUST BUT VERIFY

Monitor Albert Klein

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.