Christopher P. Klein
Professional summary
Christopher Paul Klein, CFA, CFP®, who also goes by Chris Klein, Christopher P Klein, is a registered financial advisor currently at EXETER FINANCIAL, LLC located in Scottsdale, Arizona.
Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Christopher has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Paul Klein's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2016
Experience
July 31, 2020 - Present
EXETER FINANCIAL, LLC
Office #1: 7001 N. Scottsdale Road Suite 1040, Scottsdale, AZ 85253-3644January 8, 2018 - June 2, 2020
USAA INVESTMENT SERVICES COMPANY
October 28, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
August 27, 2013 - June 2, 2020
USAA FINANCIAL ADVISORS, INC.
April 12, 2012 - September 29, 2012
INTELLIVEST SECURITIES, INC.
Primary Firm SEC Registration
EXETER FINANCIAL, LLC
CRD#: 143420 / SEC#: 801-67719
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/31/2020)
Exams
Series 7TO
Date: 3/5/2024
General Securities Representative ExaminationCurrent Firm
EXETER FINANCIAL, LLC
CRD#: 143420 / SEC#: 801-67719
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 631 |
| AUM (Assets Under Management) | $ 366,250,324 |
Red Flags
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