JK
John H. Klein
KLEIN FINANCIAL ADVISORS
Rancho Mission Viejo, CA
Some features on this profile are disabled
CRD#: 4497679
JK
Professional summary
John Henry Klein is a registered financial advisor currently at KLEIN FINANCIAL ADVISORS located in Rancho Mission Viejo, California.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. John has worked at 1 firm and has passed the Series 63 exam.
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.
Insurance agent
CRS (Client Relationship Summary) - RIA
Click below to view John Henry 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®
NoneExperience
Current
January 1, 2001 - Present
KLEIN FINANCIAL ADVISORS
RIA
CRD#: 118900
Rancho Mission Viejo, CA
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
California(1/1/2001)
Current Firm
KF
KLEIN FINANCIAL ADVISORS
JOHN HENRY MANAGEMENT COMPANY | KLEIN FINANCIAL ADVISORS
CRD#: 118900 / SEC#:
California
Registered Investment Advisory firm - (1/1/2001 Approved)Texas
Registered Investment Advisory firm - (2/20/2019 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Rancho Mission Viejo, CA
Mailing Address
Phone number
(949) 292-5460
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 14,000,000 |
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.
