Gregory A. Klein

HAYS FINANCIAL GROUP

MINNEAPOLIS, MN 55402

Some features on this profile are disabled

CRD#: 4651073

Professional summary

Gregory Alan Klein is a registered financial advisor currently at HAYS FINANCIAL GROUP, LLC located in Minneapolis, Minnesota and LPL FINANCIAL LLC located in Minneapolis, Minnesota.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Gregory has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 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.

1- 08/2023 / Hays Investment Advisors / DBA for LPL Business (entity for LPL business) / Investment Related 2- 11/20/2023 - Hays Financial Group - Registered Investment Advisor DBA - Advisor - Investment Related - At Reported Business Location(s) - Start Date 8/10/2023 3- 11/20/2023 - HAYS FINANCIAL GROUP, LLC - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 08/10/2023 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through HAYS FINANCIAL GROUP, LLC, an independent investment advisor firm. I started this business activity in 8/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4- 10/14/2025- Real Estate Rental- INV Related- At Minneapolis, MN - Start date 08/01/2024- 10 Hours Per Month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Alan 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®

None

Experience

Current

March 23, 2022 - Present

HAYS FINANCIAL GROUP, LLC

Office #1: 901 S. Marquette Avenue Suite 1990, Minneapolis, MN 55402

RIA

CRD#: 306877

MINNEAPOLIS, MN

Current

October 9, 2023 - Present

LPL FINANCIAL LLC

Office #1: 901 Marquette Ave Ste 1990, Minneapolis, MN 55402

RIA

CRD#: 6413

MINNEAPOLIS, MN

Past

August 21, 2023 - August 21, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

March 20, 2021 - October 26, 2021

GLOBAL RETIREMENT PARTNERS LLC

RIA

CRD#: 172011

Minneapolis, MN

Past

October 26, 2011 - October 3, 2013

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

MINNEAPOLIS, MN

Past

June 22, 2007 - October 25, 2011

ASKAR CORP.

CRD#: 7512

MINNEAPOLIS, MN

Past

June 2, 2005 - June 12, 2007

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

MINNEAPOLIS, MN

Past

May 12, 2003 - November 8, 2004

SLD AMERICA EQUITIES, INC.

CRD#: 36259

WEST CHESTER, PA

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".

HAYS FINANCIAL GROUP, LLC

HAYS FINANCIAL GROUP | HAYS FINANCIAL GROUP, LLC

CRD#: 306877 / SEC#: 801-118389

RIA

Registered Investment Advisory firm - (1/4/2021 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.

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

IAR

Minnesota
(3/23/2022)

Minnesota
(10/16/2023)

Oklahoma
(6/26/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/16/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/19/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/9/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/9/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/6/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/9/2003

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

HAYS FINANCIAL GROUP, LLC

HAYS FINANCIAL GROUP | HAYS FINANCIAL GROUP, LLC

CRD#: 306877 / SEC#: 801-118389

RIA

Registered Investment Advisory firm - (1/4/2021 Approved)

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

901 S. Marquette Avenue Suite 1990, Minneapolis, MN 55402

Mailing Address

Phone number

(612) 373-9863

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HFG DISCLOSURE BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	688
AUM (Assets Under Management)	$ 6,092,981,791

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.

Similar Advisors

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Janai Deitt

THRIVENT INVESTMENT MANAGEMENT INC.

IAR

McKinney, TX

Steven Schmidt

LPL ENTERPRISE, LLC

IAR

ST. LOUIS PARK, MN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gregory A. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Alan Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

GLOBAL RETIREMENT PARTNERS LLC

PLANMEMBER SECURITIES CORPORATION

ASKAR CORP.

WELLS FARGO INVESTMENTS, LLC

SLD AMERICA EQUITIES, INC.

Primary Firm SEC Registration

HAYS FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/16/2023

Series 65

Date: 3/19/2021

Series 7TO

Date: 10/9/2023

SIE

Date: 10/9/2023

Series 7

Date: 3/6/2007

Series 6

Date: 5/9/2003

FINRA

Current Firm

HAYS FINANCIAL GROUP, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HAYS FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Similar Advisors