Ashley Guorong Klein
Professional Summary
Ashley Guorong Klein, who also goes by Ashley Klein, Guorong Klein, Guorong Zhang, was a registered financial advisor. Ashley was a previously registered financial professional and started their career in finance 2006 - 2011. Ashley had worked at 2 firms and has passed the Series 63, Series 7 and Series 55 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ashley Klein, Guorong Klein, Guorong Zhang
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
DEXIA GLOBAL STRUCTURED FINANCE, LLC | DEXIA SECURITIES USA LLC
Contact Information
Established
Delaware since 12/07/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
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 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2007Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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