Robert J. Klein

REDBIRD BD LLC

New York, NY 10065

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CRD#: 3035592

Professional summary

Robert Jay Klein is a registered financial professional currently at REDBIRD BD LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 7 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 31 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Robert Jay Klein's CRS (Customer Relationship Summary).

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

Current

October 8, 2018 - Present

REDBIRD BD LLC

Office #1: 667 Madison 8th Floor, New York, NY 10065Office #2: 667 Madison Ave 8th Floor, New York, NY 10065

CRD#: 297239

New York, NY

Past

December 5, 2013 - August 4, 2017

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 7, 2012 - November 1, 2013

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

October 1, 2008 - September 4, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

October 4, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

December 13, 2001 - September 16, 2003

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

NEW YORK, NY

Past

December 7, 2000 - September 16, 2003

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

May 7, 1998 - December 7, 2000

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(3/25/2021)

Florida
(12/13/2019)

New York
(1/4/2019)

Texas
(11/18/2019)

Exams

State Security Law Exam

Series 63

Date: 12/26/2007

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/2/2001

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 8/4/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/2/2007

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 12/26/2000

Futures Managed Funds Examination

Principal/Supervisory Exam

Series 24

Date: 6/17/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

REDBIRD BD LLC

REDBIRD BD LLC | REDBIRD BD, LLC

CRD#: 297239 / SEC#: , 8-70125

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

667 Madison Ave 8th Floor, New York, NY 10065

Mailing Address

667 Madison Ave 8th Floor, New York, NY 10065

Phone number

(212) 235-1000

Established

Delaware since 11/29/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
REDBIRD CAPITAL PARTNERS ALTERNATIVE HOLDINGS LLC	OWNER, OWNER / AGGREGATION VEHICLE FOR IA AND BD ACTIVITIES
CHIARAVALLOTI, MICHAEL JOSEPH	COUNSEL & CHIEF COMPLIANCE OFFICER	5099998
KLEIN, ROBERT JAY	MANAGING PRINCIPAL	3035592
MILLER, ANDREW DAVID	FINOP	5106774

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.

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Advisor Monitoring

Firm Stability Insights

Robert J. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Robert Jay Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

SANFORD C. BERNSTEIN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/26/2007

Series 65

Date: 1/2/2001

Series 99TO

Date: 1/2/2023

SIE

Date: 8/4/2017

Series 7

Date: 10/2/2007

Series 31

Date: 12/26/2000

Series 24

Date: 6/17/2014

FINRA

Current Firm

REDBIRD BD LLC

Contact information

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

REDBIRD BD LLC

TRUST BUT VERIFY

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