David H. Klein

FRANKLIN DISTRIBUTORS

NEW YORK, NY 10010

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CRD#: 4816173

Professional summary

David Herschel Klein, who also goes by David H Klein, is a registered financial professional currently at FRANKLIN DISTRIBUTORS, LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 2004. David has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David H Klein

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) - BD

Click below to view David Herschel 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

July 7, 2021 - Present

FRANKLIN DISTRIBUTORS, LLC

Office #1: One Madison Avenue, New York, NY 10010

CRD#: 109064

NEW YORK, NY

Past

October 8, 2019 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

New York, NY

Past

April 23, 2015 - September 18, 2018

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

January 15, 2013 - April 23, 2015

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

May 1, 2008 - January 2, 2013

PINEBRIDGE SECURITIES LLC

CRD#: 5967

NEW YORK, NY

Past

August 2, 2005 - April 30, 2008

LAZARD ASSET MANAGEMENT SECURITIES LLC

CRD#: 129119

NEW YORK, NY

Past

September 22, 2004 - July 18, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

August 25, 2004 - July 18, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

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

Alabama
(7/7/2021)

Alaska
(7/7/2021)

Arizona
(7/7/2021)

Arkansas
(7/7/2021)

California
(7/7/2021)

Colorado
(7/7/2021)

Connecticut
(7/7/2021)

Delaware
(7/7/2021)

District of Columbia
(7/7/2021)

Florida
(7/7/2021)

Georgia
(7/7/2021)

Hawaii
(7/7/2021)

Idaho
(7/7/2021)

Illinois
(7/7/2021)

Indiana
(7/7/2021)

Iowa
(7/7/2021)

Kansas
(7/7/2021)

Kentucky
(7/7/2021)

Louisiana
(7/7/2021)

Maine
(7/7/2021)

Maryland
(7/7/2021)

Massachusetts
(7/7/2021)

Michigan
(7/7/2021)

Minnesota
(7/7/2021)

Mississippi
(7/7/2021)

Missouri
(7/7/2021)

Montana
(7/7/2021)

Nebraska
(7/7/2021)

Nevada
(7/7/2021)

New Hampshire
(7/7/2021)

New Jersey
(7/7/2021)

New Mexico
(7/7/2021)

New York
(7/7/2021)

North Carolina
(7/7/2021)

North Dakota
(7/7/2021)

Ohio
(7/7/2021)

Oklahoma
(7/7/2021)

Oregon
(7/7/2021)

Pennsylvania
(7/7/2021)

Puerto Rico
(7/7/2021)

Rhode Island
(7/7/2021)

South Carolina
(7/7/2021)

South Dakota
(7/7/2021)

Tennessee
(7/7/2021)

Texas
(7/7/2021)

Utah
(7/7/2021)

Vermont
(7/7/2021)

Virgin Islands
(7/7/2021)

Virginia
(7/7/2021)

Washington
(7/7/2021)

West Virginia
(7/7/2021)

Wisconsin
(7/7/2021)

Wyoming
(7/7/2021)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/21/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/16/2021

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN DISTRIBUTORS, LLC | UNIFIED DISTRIBUTORS LLC | LEGG MASON INVESTORS SERVICES, LLC | LEGG MASON INVESTOR SERVICES, LLC | LATINVALLEY SECURITIES LLC

CRD#: 109064 / SEC#: , 8-53089

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

One Franklin Parkway, San Mateo, CA 94403

Mailing Address

1201 Wills Street, Baltimore, MD 21231

Phone number

(800) 632-2350

Established

Delaware since 12/01/2000

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TEMPLETON WORLDWIDE, INC.	SHAREHOLDER
CIEPRISZ, KENNETH DAVID	CHIEF COMPLIANCE OFFICER	2303713
GAMBA, DANIEL ERNESTO	CHIEF EXECUTIVE OFFICER	4594704
MASOM, JEFFREY SCOTT	PRESIDENT-DIRECTOR	2870966
PATERSON, DAVID	CHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL	7001546

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

David H. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Herschel Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BLACKROCK INVESTMENTS, LLC

PACIFIC SELECT DISTRIBUTORS, LLC

PINEBRIDGE SECURITIES LLC

LAZARD ASSET MANAGEMENT SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 9/21/2004

SIE

Date: 9/18/2018

Series 7

Date: 8/24/2004

Series 24

Date: 4/16/2021

FINRA

Current Firm

FRANKLIN DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FRANKLIN DISTRIBUTORS, LLC

TRUST BUT VERIFY

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