Daniel Joseph Klein
CFP®Professional Summary
Daniel Joseph Klein, CFP®, who also goes by Dan Klein, is a registered financial advisor currently at LOCKSHIELD PARTNERS, INC. located in Glasgow, Kentucky. Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Daniel has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dan Klein
Similar Advisors
FBL MARKETING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
FARTHER
RAYMOND JAMES & ASSOCIATES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
FBL MARKETING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
FARTHER
RAYMOND JAMES & ASSOCIATES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
FBL MARKETING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
FARTHER
RAYMOND JAMES & ASSOCIATES, INC.
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.
Similar Advisors
FBL MARKETING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
FARTHER
RAYMOND JAMES & ASSOCIATES, INC.
Credentials
Years of Experience
27 years in the financial services industry
Current & Past Employments
Similar Advisors
FBL MARKETING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
FARTHER
RAYMOND JAMES & ASSOCIATES, INC.
Current Firm
LOCKSHIELD PARTNERS, INC.
Contact Information
Main Address
301 South Broadway, Glasgow, KY 42141Phone Number
(270) 629-2046# of Employees
8SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,717AUM (Assets Under Management)
$290,617,759Similar Advisors
FBL MARKETING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
FARTHER
RAYMOND JAMES & ASSOCIATES, INC.
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.
Similar Advisors
FBL MARKETING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
FARTHER
RAYMOND JAMES & ASSOCIATES, INC.
Primary Firm SEC Registration
LOCKSHIELD PARTNERS, INC.
State Registrations and Notice Filings
(5/29/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Similar Advisors
FBL MARKETING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
FARTHER
RAYMOND JAMES & ASSOCIATES, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Klein's CRS (Customer Relationship Summary).
Similar Advisors
FBL MARKETING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
FARTHER
RAYMOND JAMES & ASSOCIATES, INC.
