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CK

Charles J. Klein

Some features on this profile are disabled
CRD#: 4707746
CK

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.

Charles J Klein was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 2004. Charles had worked at 15 firms and has passed the Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 21, 2016 - October 4, 2016

APTO PARTNERS, LLC

BD
CRD#: 155843
MENDHAM, NJ
Past

December 22, 2015 - August 8, 2016

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY
Past

May 1, 2015 - March 23, 2016

EMPIRE ASSET MANAGEMENT COMPANY

BD
CRD#: 143007
NEW YORK, NY
Past

April 27, 2015 - July 28, 2016

SECUREVEST FINANCIAL GROUP

BD
CRD#: 10100
MORRISTOWN, NJ
Past

February 23, 2015 - July 25, 2016

BIA CAPITAL STRATEGIES, LLC

BD
CRD#: 130533
CHANTILLY, VA
Past

June 11, 2014 - January 4, 2016

M.E.S.A. SECURITIES, INC.

BD
CRD#: 136138
NEW YORK, NY
Past

June 14, 2013 - August 26, 2013

GLEN EAGLE WEALTH, LLC

BD
CRD#: 124504
KINGSTON, NJ
Past

June 11, 2013 - August 22, 2014

VEGA-CHI US LIMITED

BD
CRD#: 158017
NEW YORK, NY
Past

June 11, 2013 - December 11, 2015

GRANDWOOD SECURITIES LLC

BD
CRD#: 127211
BROOKLYN, NY
Past

June 10, 2013 - July 20, 2016

SONENSHINE & COMPANY LLC

BD
CRD#: 104357
NEW YORK, NY
Past

June 10, 2013 - July 27, 2016

COVA CAPITAL PARTNERS LLC

BD
CRD#: 109761
SYOSSET, NY
Past

June 6, 2013 - September 2, 2014

LODESTAR SECURITIES CORP.

BD
CRD#: 159532
NEW YORK, NY
Past

May 31, 2013 - June 8, 2015

TIGRESS FINANCIAL PARTNERS, LLC

BD
CRD#: 154717
NEW YORK, NY
Past

May 30, 2013 - June 11, 2013

SEQUOIA INVESTMENTS, INC.

BD
CRD#: 39341
ROSWELL, GA
Past

January 1, 2004 - December 17, 2004

J. B. HANAUER & CO.

BD
CRD#: 6958
PARSIPPANY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 12/27/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/29/2013
Financial and Operations Principal Examination

Current Firm

AP
APTO PARTNERS, LLC
APTO PARTNERS, LLC

CRD#: 155843 / SEC#: , 8-68746

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
5 Cold Hill Road South Suite 11, Mendham, NJ 07945
Mailing Address
5 Cold Hill Road South Suite 11, Mendham, NJ 07945
Phone number
(973) 543-6600
Established
New Jersey since 10/05/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ESPINOSA, JUAN DIEGOPRESIDENT & CEO, CFO, CCO / SOLE MANAGING MEMBER3268752

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.

Company Information

APTO PARTNERS, LLC

CRD#: 155843

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