Tzvi 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.
Tzvi Klein, who also goes by Hershel Klein, was a registered financial professional .
Tzvi is a previously registered financial professional and started their career in finance in 1997. Tzvi had worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 30, Series 4 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
May 20, 2013 - December 1, 2015
TRACK DATA SECURITIES CORPORATION
August 2, 2001 - June 2, 2011
TRACK DATA SECURITIES CORPORATION
December 10, 1997 - August 19, 1999
METROPOLITAN LIFE INSURANCE COMPANY
December 10, 1997 - August 19, 1999
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TRACK DATA SECURITIES CORPORATION
CRD#: 103802 / SEC#: , 8-52290
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
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.
