Mark R. Kleiner
STRATEGIC ADVISERS | Financial Consultant
SAN JOSE, CA
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CRD#: 4439448
Professional summary
Mark Richard Kleiner, who also goes by Mark R Kleiner, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in San Jose, California and FIDELITY BROKERAGE SERVICES LLC located in San Jose, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Mark has worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Biography
As your dedicated advisor I will get to know you and your financial picture. I will work with you to develop a plan that relates to your personal situation and goals. Working together I will show you the wide variety of investment options and diversified strategies fidelity has to reach your goals.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark R Kleiner
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Richard Kleiner'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®
NoneEducation
San Jose State University
Bachelor of Economics - Economics
1992
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 4160 N First St, San Jose, CA 95134-1513RIA
CRD#: 104555
SAN JOSE, CA
Current
June 14, 2012 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 4160 N First St, San Jose, CA 95134-1513BD
CRD#: 7784
San Jose, CA
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SAN JOSE, CA
Past
June 19, 2012 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SAN JOSE, CA
Past
August 18, 2006 - June 7, 2012
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SAN JOSE, CA
Past
August 18, 2006 - June 7, 2012
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SAN JOSE, CA
Past
November 15, 2001 - August 22, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CUPERTINO, CA
Past
September 7, 2001 - August 22, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
CUPERTINO, CA
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/23/2020)
RR
California(6/14/2012)
IAR
California(3/31/2025)
RR
Colorado(4/23/2020)
RR
Florida(4/23/2020)
RR
Hawaii(12/18/2014)
RR
Idaho(4/23/2020)
RR
Nevada(4/9/2021)
RR
New Mexico(6/7/2016)
RR
New York(8/8/2020)
RR
Oregon(1/8/2013)
RR
Pennsylvania(1/8/2026)
RR
Texas(1/11/2013)
IAR
Texas(3/31/2025)
RR
Washington(1/7/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)PREMIUM
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
Company Information
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555San Jose, CATRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
