CK
Christopher T. Klein
THE FIDUCIARY ALLIANCE
ROCHESTER, MN
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CRD#: 4705193
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Professional summary
Christopher Thomas Klein, who also goes by Christopher Thomas Klien, is a registered financial advisor currently at THE FIDUCIARY ALLIANCE located in Rochester, Minnesota.
Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Christopher has worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Thomas Klien
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) FlexJet, LLC; Rochester, MN; Professional Pilot; Non-investment related; Up to 40 hours per work that can include trading hours; 2) Klein Aviation Services, LLC; Rochester, MN; Contractor Pilot Services; Pilot and Owner; Non-investment related; April 2022 - Present; Approximately 4 hours per month outside of trading hours. 3) Henle Prep Workbooks; Volunteer website design; Non-investment related; 7/2017 - present; Approximately 2 hours per month outside of trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Thomas 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
April 3, 2025 - Present
THE FIDUCIARY ALLIANCE
RIA
CRD#: 284924
ROCHESTER, MN
Past
December 17, 2013 - January 6, 2025
LIFEPLAN FINANCIAL, LLC
RIA
CRD#: 136981
Rochester, MN
Past
January 10, 2007 - December 31, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ROCHESTER, MN
Past
February 15, 2005 - November 4, 2005
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
CINCINNATI, OH
Past
September 10, 2003 - February 15, 2005
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
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".
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
CRD#: 284924 / SEC#: 801-108283
RIA
Registered Investment Advisory firm - (8/17/2016 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.Highlighted states indicate IAR registrations
IAR
Minnesota(4/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
TF
THE FIDUCIARY ALLIANCE
ALTUM WEALTH ALLIANCE | THE FIDUCIARY ALLIANCE | STEWARDSHIP INVESTMENTS, INC. | PEACHTREE FINANCIAL GROUP | PARALLEL FINANCIAL | NORRIS LAKE RETIREMENT PLANNING, LLC | MORROW WEALTH ADVISORY GROUP | MERRIMACK WEALTH MANAGEMENT | LONGVIEW ADVISORS | KINGDOM WEALTH MANAGEMENT | GUARD LEGACY | FIDUCIARY ALLIANCE LLC | ELM WEALTH ADVISORS | ECHELON FINANCIAL MANAGEMENT | DAVID DUNN WEALTH, LLC | CREATIVE RETIREMENT SOLUTIONS GROUP, LLC | BRIDGEWAY WEALTH STRATEGIES
CRD#: 284924 / SEC#: 801-108283
RIA
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Contact information
Main Address
135 S Main St Suite 600, Greenville, SC 29601
Mailing Address
Phone number
(864) 385-7999
Established
Firm type
Fiscal year end
# of Employees
63
SEC notice filing (29 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,842 |
| AUM (Assets Under Management) | $ 1,921,956,974 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
