Daniel J. Klein
LOCKSHIELD PARTNERS
Glasgow, KY 42141
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CRD#: 3213917
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
Are you a "fiduciary"?
Yes
Aliases
Dan Klein
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.
1. 07/05/2011 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Time Spent 5% - (OBQ ID # 86668) Owner of rental property.
2. 07/05/2011 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Time Spent 5% - (OBQ ID # 86669) Owner of rental property.
3. 07/05/2011 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Time Spent 5% - (OBQ ID # 86666) Owner of rental property.
4. 07/05/2011 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Time Spent 5% - (OBQ ID # 86698) Owner rental property.
5. 07/05/2011 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Time Spent 5% - (OBQ ID # 86699) Owner rental property.
6. 04/20/2015 - LOCKSHIELD PARTNERS - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 4/9/2015 - 120 Hours During Securities Trading - Time Spent 100%.
7. 6/2/2015 - LOCKSHIELD PARTNERS, INC. - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION
(S) - REGISTERED REPRESENTATIVE OF LPL FINANCIAL, LLC, A REGISTERED BROKER DEALER - STARTED 04/09/2015 - TIME SPENT 100% - IAR.
8. 4/5/2016 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Started 03/15/2016 - 3 Hours Per Month/0 Hours During Securities Trading - Purchased 3 new properties to rent.
9. 11/21/2016 - George Hartman LLC - Investment Related - 1712 Hogle, 801 Logan Way, 1606 Kenton BK KY 42101 - Real
Estate Rental - Started 06/01/2008 - 4 Hours Per Month/0 Hours During Securities Trading - Owner of rental property.
10. 11/22/2016 - No Business Name - Investment Related - 1714 Hogle Dr. BG KY 42101 - Real Estate Rental - Started 07/01/2013 - 4 Hours Per Month/2 Hours During Securities Trading - Owner of
rental property.
11. 11/22/2016 - No Business Name - Investment Related - 610 Park St BG KY 42101 - Real Estate Rental - Started 09/01/2013 - 4 Hours Per Month/0 Hours During Securities Trading - Owner rental property.
12. 11/22/2016 - No Business Name - Investment Related - 1621 Park St BG KY 42103 - Real Estate Rental - Started 11/01/2015 - 4 Hours Per Month/0 Hours During Securities Trading - Owner rental property.
13. 12/2/2016 - "My 3:59" - Investment Related - Home Based - Other-Author - Start 12/16/16 - 10 Hours Per Month/2 Hours During Securities Trading.
14. 6/20/2017 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Started 05/01/2017 - 3 Hours Per Month/0 Hours During Securities Trading.
15. 6/23/2017 - Hatler & Hartman LLC - Investment Related - Bowling Green, KY - Real Estate Rental - Started 10/20/08 - 2 Hours Per Month/0 Hours During Securities Trading.
16. 01/19/2018 - No Business Name - Not Investment Related - St Bowling Green, KY - Real Estate Rental - My wife and I bought 2 new investment properties - Start Date 12/22/2017 - 3 Hours Per Month / 0 Hours During Trading.
17. 3/21/2018 - No Business Name - Not Investment Related - Bowling Green, KY 42103 - Real Estate Rental - Start Date: 02/01/2018 - 4 Hours Per Month/0 Hours During Securities Trading - Bought 2 rental properties.
18). 10/24/2018 - Gilbert & Gilbert - Investment Related - 501 West Main Street Suite A Glasgow, KY 42141 - Tax Prep/Accounting/CPA - Start Date:01/02/2019 - 5 Hours Per Month/5 Hours During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph 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®
CFP®
Start date: 2010
Experience
Current
May 29, 2015 - Present
LOCKSHIELD PARTNERS, INC.
Office #1: 301 South Broadway, Glasgow, KY 42141RIA
CRD#: 175433
Glasgow, KY
Past
July 5, 2011 - May 4, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
GLASGOW, KY
Past
July 5, 2011 - December 17, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
GLASGOW, KY
Past
October 28, 2003 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
GLASGOW, KY
Past
May 19, 1999 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
GLASGOW, KY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LP
LOCKSHIELD PARTNERS, INC.
LOCKSHIELD PARTNERS, INC.
CRD#: 175433 / SEC#: 801-116877
RIA
Registered Investment Advisory firm - (7/2/2019 Approved)Kentucky
Registered Investment Advisory firm - (10/3/2019 Terminated)Tennessee
Registered Investment Advisory firm - (9/24/2019 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Kentucky(5/29/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
LP
LOCKSHIELD PARTNERS, INC.
LOCKSHIELD PARTNERS, INC.
CRD#: 175433 / SEC#: 801-116877
RIA
Registered Investment Advisory firm - (7/2/2019 Approved)Kentucky
Registered Investment Advisory firm - (10/3/2019 Terminated)Tennessee
Registered Investment Advisory firm - (9/24/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
301 South Broadway, Glasgow, KY 42141
Mailing Address
Phone number
(270) 629-2046
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,567 |
| AUM (Assets Under Management) | $ 245,759,047 |
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.
