Stephen J. 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.
Stephen James-michael Klein was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2006. Stephen had worked at 2 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2009 - May 27, 2010
BELLEVUE CHICAGO, LLC
August 24, 2006 - October 30, 2014
TD AMERITRADE, INC.
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
BELLEVUE CHICAGO, LLC
CRD#: 106069 / SEC#: , 8-52991
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THINKORSWIM HOLDINGS INC. | OWNER | |
| BUNCH, JOHN BRADLEY | DIRECTOR | 1908764 |
| CHOCHON, MICHAEL DOUGLAS | CFO/FINOP | 3203736 |
| DAVIDSON, FELIX BEARD | VP, MANAGING DIRECTOR, OPERATIONS | 3061512 |
| GERBER, WILLIAM JOSEPH | DIRECTOR | 1769810 |
| GRADY, ANN MARIE | CHIEF COMPLIANCE OFFICER | 4505862 |
| SHERIDAN, SCOTT DANIEL | EXECUTIVE VICE PRESIDENT | 2420659 |
| SOSNOFF, TOM | EXECUTIVE VICE PRESIDENT | 704235 |
| YATES, WILLIAM THOMAS | PRESIDENT | 2749545 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
