Adam H. Klein
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.
Adam Harry Klein was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2009. Adam had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2014 - December 23, 2014
TD AMERITRADE, INC.
May 14, 2014 - December 23, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 5, 2014 - December 23, 2014
TD AMERITRADE, INC.
June 25, 2010 - May 21, 2013
ALLIANCEBERNSTEIN INVESTMENTS, INC.
July 8, 2009 - July 8, 2010
SANFORD C. BERNSTEIN & CO., LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
