Laurie L. Klein

KAIZEN FINANCIAL ADVISORS

Kirkland, WA 98033

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CRD#: 4478848

Professional summary

Laurie Laverne Klein, CFP® is a registered financial advisor currently at KAIZEN FINANCIAL ADVISORS, LLC located in Kirkland, Washington.

Laurie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Laurie has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laurie Laverne Klein's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2005

Experience

Current

October 27, 2010 - Present

KAIZEN FINANCIAL ADVISORS, LLC

Office #1: 4030 Lake Washington Blvd Suite 308, Kirkland, WA 98033

RIA

CRD#: 155353

Kirkland, WA

Past

January 4, 2002 - May 11, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

BELLEVUE, WA

Past

December 20, 2001 - May 11, 2005

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 20, 2001 - May 11, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

KAIZEN FINANCIAL ADVISORS, LLC

KAIZEN AVISORS, LLC | KAIZEN FINANCIAL ADVISORS, LLC | KAIZEN FINANCIAL ADVISORS

CRD#: 155353 / SEC#: 801-115111

RIA

Registered Investment Advisory firm - (4/30/2019 Approved)

Washington

Registered Investment Advisory firm - (5/1/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Washington
(10/27/2010)

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

State Security Law Exam

IAR

Series 66

Date: 12/31/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/18/2001

General Securities Representative Examination

Current Firm

KAIZEN FINANCIAL ADVISORS, LLC

KAIZEN AVISORS, LLC | KAIZEN FINANCIAL ADVISORS, LLC | KAIZEN FINANCIAL ADVISORS

CRD#: 155353 / SEC#: 801-115111

RIA

Registered Investment Advisory firm - (4/30/2019 Approved)

Washington

Registered Investment Advisory firm - (5/1/2020 Terminated)

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Contact information

Main Address

4030 Lake Washington Blvd Suite 308, Kirkland, WA 98033

Mailing Address

Phone number

(425) 321-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KAIZEN FINANCIAL ADVISORS ADV 2A MARCH 2023 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	560
AUM (Assets Under Management)	$ 244,208,652

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.

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Laurie L. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laurie Laverne Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

KAIZEN FINANCIAL ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KAIZEN FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/31/2001

Series 7

Date: 12/18/2001

Current Firm

KAIZEN FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KAIZEN FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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