Thomas C. Klein

THOMAS C. KLEIN AND COMPANY

LOS ALTOS, CA

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CRD#: 4907509

Professional summary

Thomas Christopher Klein is a registered financial advisor currently at THOMAS C. KLEIN AND COMPANY, LLC located in Los Altos, California.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Thomas has worked at 1 firm and has passed the Series 65 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.

WILSON SONSINI GOODRICH & ROSATI MEMBER EMPLOYED AS ATTORNEY BUSINESS IS NOT INVESTMENT-RELATED 650 PAGE MILL ROAD PALO ALTO, CA 94304 LEGAL SERVICES BEGAN WORK ON 10/1989 160 HOURS PER MONTH WORK FROM NOON TO 4:30 EST EACH TRADING DAY, I WORK IN THIS BUSINESS. DUTIES ARE TO PROVIDE LEGAL SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Christopher 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®

None

Experience

Current

February 11, 2005 - Present

THOMAS C. KLEIN AND COMPANY, LLC

RIA

CRD#: 133854

LOS ALTOS, 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
(2/11/2005)

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Exams

State Security Law Exam

IAR

Series 65

Date: 3/6/2002

Uniform Investment Adviser Law Examination

Current Firm

THOMAS C. KLEIN AND COMPANY, LLC

THOMAS C. KLEIN AND COMPANY | THOMAS CHRISTOPHER KLEIN | THOMAS C. KLEIN AND COMPANY, LLC

CRD#: 133854 / SEC#:

California

Registered Investment Advisory firm - (8/2/2002 Approved)

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Contact information

Main Address

Los Altos, CA

Mailing Address

Phone number

(650) 353-8710

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas C. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Christopher Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

THOMAS C. KLEIN AND COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/2002

Current Firm

THOMAS C. KLEIN AND COMPANY, LLC

Contact information

Documents

Red Flags

Company Information

THOMAS C. KLEIN AND COMPANY, LLC

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