Nicholas S. 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.
Nicholas Steven Klein, who also goes by Nick Klein, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2007. Nicholas had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2016 - June 30, 2026
OXFORD FINANCIAL GROUP, LTD
November 13, 2013 - September 8, 2014
BESSEMER INVESTOR SERVICES, INC.
October 9, 2009 - June 6, 2012
GOLDMAN SACHS & CO. LLC
July 18, 2007 - October 5, 2009
AMG DISTRIBUTORS, INC.
Primary Firm SEC Registration
OXFORD FINANCIAL GROUP, LTD
CRD#: 105303 / SEC#: 801-20692
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
OXFORD FINANCIAL GROUP, LTD
CRD#: 105303 / SEC#: 801-20692
Contact information
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,467 |
| AUM (Assets Under Management) | $ 19,650,381,670 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2026 | ||
| 04/16/2025 | ||
| 03/28/2025 | ||
| 03/15/2024 | ||
| 03/24/2023 |
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.
