Randy M. 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.
Randy Michael Klein, who also goes by Randy Michael Klein Mr., was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 2003. Randy had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2016 - February 24, 2022
TANGENT CAPITAL PARTNERS, LLC
March 30, 2016 - October 25, 2016
ZANBATO SECURITIES LLC
December 2, 2015 - March 24, 2016
INTE SECURITIES LLC
January 28, 2005 - January 19, 2006
CITIGROUP GLOBAL MARKETS INC.
October 30, 2003 - January 3, 2005
BOSTON PARTNERS SECURITIES, L.L.C.
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: 1/1/2024
General Securities Representative ExaminationCurrent Firm
TANGENT CAPITAL PARTNERS, LLC
CRD#: 146999 / SEC#: , 8-67885
Contact information
FINRA licenses (32 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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