Stephen James-michael Klein
Professional Summary
Stephen James-michael Klein was a registered financial advisor. Stephen was a previously registered financial professional and started their career in finance 2006 - 2010. Stephen had worked at 2 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
BELLEVUE CHICAGO, LLC | THINKORSWIM, INC. | THINKORSWIM
Contact Information
Established
Delaware since 07/01/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
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
5Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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