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EK

Eric D. Klein

MENTOR SECURITIES
Westlake Villiage, CA 91362
Some features on this profile are disabled
CRD#: 5006175
EK

Professional summary

Eric David Klein, who also goes by Eric David Shirwo, is a registered financial professional currently at MENTOR SECURITIES, LLC located in Westlake Villiage, California.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2006. Eric has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric David Shirwo

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 Eric David 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

September 17, 2015 - Present

MENTOR SECURITIES, LLC

Office #1: 200 N. Westlake Boulevard Suite 204, Westlake Villiage, CA 91362
RIA
BD
CRD#: 147682
Westlake Villiage, CA
Past

March 3, 2015 - September 16, 2015

XNERGY FINANCIAL LLC

BD
CRD#: 144436
LOS ANGELES, CA
Past

February 2, 2009 - February 15, 2013

HUNTER WISE SECURITIES, LLC

BD
CRD#: 104193
IRVINE, CA
Past

January 22, 2008 - December 2, 2008

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

January 11, 2006 - January 8, 2008

CAPITAL GROWTH RESOURCES

BD
CRD#: 7779
EL CAJON, CA

State Registrations and Notice Filings

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

RR
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

RR
California
(6/21/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 2/4/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/10/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MENTOR SECURITIES, LLC
MENTOR SECURITIES, INC. | MENTOR SECURITIES, LLC

CRD#: 147682 / SEC#: 801-72714, 8-67923

RIA
Registered Investment Advisory firm - SEC (5/17/2012 Terminated)
California
Registered Investment Advisory firm - SEC (2/26/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
200 N. Westlake Boulevard Suite 204, Westlake Village, CA 91362
Mailing Address
200 N. Westlake Boulevard Suite 204, Westlake Villiage, CA 91362
Phone number
(818) 991-4150
Established
California since 05/08/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
4

FINRA licenses (1 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
THE MENTOR GROUP, INC.OWNER
BLAINE, DAVISCHIEF COMPLIANCE OFFICER

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

MENTOR SECURITIES, LLC

CRD#: 147682Westlake Villiage, CA 91362

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