Donald W. Klein
Professional summary
Donald Wayne Klein was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Donald is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Donald had worked at 7 firms, which includes THE KCM TRADING GROUP LLC, SOUTHWEST TEXAS CAPITAL L.L.C, VSR FINANCIAL SERVICES INC., ELECTRONIC TRADING GROUP LLC, KLEIN CAPITAL MANAGEMENT CORPORATION, RUMSON CAPITAL LLC, UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2008 - December 31, 2010
THE KCM TRADING GROUP, LLC
June 13, 2005 - May 1, 2006
SOUTHWEST TEXAS CAPITAL, L.L.C
March 9, 2005 - June 23, 2005
VSR FINANCIAL SERVICES, INC.
March 9, 2005 - June 23, 2005
VSR FINANCIAL SERVICES, INC.
July 28, 2003 - November 16, 2004
ELECTRONIC TRADING GROUP, LLC
April 10, 2003 - December 31, 2003
KLEIN CAPITAL MANAGEMENT CORPORATION
February 15, 2001 - July 26, 2001
RUMSON CAPITAL, LLC
May 14, 1998 - March 10, 1999
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 3/23/2001
Limited Representative-Equity Trader ExamCurrent firm
No current employment
Red Flags
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