Irwin A. 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.
Irwin Allen Klein, who also goes by Irwin A Klein, was a registered financial professional .
Irwin is a previously registered financial professional and started their career in finance in 1973. Irwin had worked at 8 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2007 - June 5, 2012
GROVE POINT INVESTMENTS, LLC
September 9, 2004 - May 1, 2007
KOVACK SECURITIES INC.
November 14, 2003 - September 22, 2004
QUICK & REILLY, INC.
January 21, 1994 - November 17, 2003
FINANCIAL INVESTMENT ANALYSTS, INC.
September 23, 1986 - December 31, 1993
MUTUAL SERVICE CORPORATION
May 8, 1985 - October 2, 1986
THE ADVISORS GROUP, INC.
June 1, 1983 - May 23, 1985
COORDINATED CAPITAL, LTD.
March 26, 1973 - July 10, 1981
PACIFIC SELECT DISTRIBUTORS, LLC
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 1
Date: 3/19/1973
Registered Representative ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
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.
