Daniel J. Klein
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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Klein's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2010
Experience
May 29, 2015 - Present
LOCKSHIELD PARTNERS, INC.
Office #1: 301 South Broadway, Glasgow, KY 42141July 5, 2011 - May 4, 2015
LPL FINANCIAL LLC
July 5, 2011 - December 17, 2019
LPL FINANCIAL LLC
October 28, 2003 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
May 19, 1999 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
Primary Firm SEC Registration
LOCKSHIELD PARTNERS, INC.
CRD#: 175433 / SEC#: 801-116877
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/29/2015)
Exams
Current Firm
LOCKSHIELD PARTNERS, INC.
CRD#: 175433 / SEC#: 801-116877
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,717 |
| AUM (Assets Under Management) | $ 290,617,759 |
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.
