William L. 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.
William Lawrence Klein, who also goes by William Klein, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2001. William had worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2004 - November 3, 2006
TIAA-CREF TRUST COMPANY, FSB
September 27, 2004 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 28, 2004 - September 10, 2004
U.S. BANCORP INVESTMENTS, INC.
February 8, 2002 - February 25, 2004
MORGAN STANLEY DW INC.
October 10, 2001 - February 25, 2004
MORGAN STANLEY DW INC.
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 7TO
Date: 3/27/2024
General Securities Representative ExaminationCurrent firm
No current employment
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.
