Alexander Philip Klein
Professional Summary
Alexander Philip Klein, who also goes by Alexander Klein, is a registered financial advisor currently at HEIM, YOUNG & ASSOCIATES, INC. located in Springfield, Missouri. Alexander is registered as a RR (Registered Representative) and started their career in finance in 2010. Alexander has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 52, Series 7, Series 6, Series 14, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alexander Klein
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PFS INVESTMENTS INC.
Videos & Posts
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PFS INVESTMENTS INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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PFS INVESTMENTS INC.
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Disclosures on record.
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PFS INVESTMENTS INC.
Years of Experience
16 years in the financial services industry
Current & Past Employments
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Current Firm
HEIM & YOUNG SECURITIES, INC. | MABS INSURANCE SOLUTIONS | MA BROKERAGE SOLUTIONS | HEIM, YOUNG & ASSOCIATES, INC.
Contact Information
Main Address
1256 E. Kingsley St, Springfield, MO 65804-7211Mailing Address
1256 E. Kingsley St, Springfield, MO 65804-7211Phone Number
(417) 882-7283Established
Missouri since 07/07/1995Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (49 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MERCER ADVISORS, INC. | OWNER | — |
| BRAMER, BENJAMIN EDWARD | DIRECTOR | 3222029 |
| CATALDO, CHRISTINE ADELE | CHIEF INFORMATION OFFICER | 3042889 |
| DREPAUL, ROSHNI ARUNA | FINOP / PFO | 6487453 |
| ENCINO, MATHEW RYAN | GENERAL COUNCEL, SECRETARY | 7530163 |
| ERKER, TORIAN BILLS | CCO | 6309105 |
| LEE, TRINITY YVONNE | PRESIDENT & EXECUTIVE DIRECTOR /CFO/POO | 5472899 |
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PFS INVESTMENTS INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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PFS INVESTMENTS INC.
State Registrations and Notice Filings
(1/26/2023)
(1/26/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2010About the Series 6 examSRO Registrations
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PFS INVESTMENTS INC.
CRS (Client Relationship Summary) - BD
Click below to view Alexander Philip Klein's CRS (Customer Relationship Summary).
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PFS INVESTMENTS INC.
