Ashley G. 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.
Ashley Guorong Klein, who also goes by Ashley Klein, Guorong Klein, Guorong Zhang, was a registered financial professional .
Ashley is a previously registered financial professional and started their career in finance in 2006. Ashley had worked at 2 firms and has passed the Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2011 - December 31, 2011
DEXIA SECURITIES USA LLC
May 31, 2006 - December 12, 2007
COMMERZ MARKETS 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 55
Date: 2/12/2007
Limited Representative-Equity Trader ExamCurrent Firm
DEXIA SECURITIES USA LLC
CRD#: 145824 / SEC#: , 8-67756
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEXIA CREDIT LOCAL S.A. | OWNER | |
| CEUSTERS, TOM | BOARD MEMBER (2011), PRESIDENT (2011), GENERAL SECURITIES PRINCIPAL (2011) | 5872506 |
| COOLS, GUY, EUGENE JOSEPHINE | BOARD MEMBER | |
| LUDWIG, EDMUND VINCENT JR | BOARD MEMBER (2007), MANAGING DIRECTOR (2011) | |
| MARX, FRANCINE | CORPORATE SECRETARY | 1937988 |
| MAURO, ANTHONY | FINOP (2008), CHIEF FINANCIAL OFFICER (2008), BOARD MEMBER (2011) | 4310542 |
| MINGUEZ, MARIA LOPRESTI | DIRECTOR, CHIEF COMPLIANCE OFFICER | 1919807 |
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.
