Alexander P. Klein
Professional summary
Alexander Philip Klein, who also goes by Alexander Klein, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alexander Philip Klein's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 26, 2023 - Present
HEIM, YOUNG & ASSOCIATES, INC.
Office #1: 1256 E. Kingsley St, Springfield, MO 65804-7211April 20, 2018 - July 7, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
April 20, 2018 - February 3, 2020
BMO INVESTMENT DISTRIBUTORS, LLC
April 20, 2018 - July 7, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
May 21, 2015 - May 9, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 20, 2015 - May 9, 2018
RAYMOND JAMES & ASSOCIATES, INC.
May 20, 2015 - May 9, 2018
RAYMOND JAMES & ASSOCIATES, INC.
February 25, 2014 - May 20, 2015
ROBERT W. BAIRD & CO. INCORPORATED
June 19, 2013 - May 20, 2015
ROBERT W. BAIRD & CO. INCORPORATED
November 4, 2010 - June 14, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/26/2023)
(1/26/2023)
Exams
FINRA
Current Firm
HEIM, YOUNG & ASSOCIATES, INC.
CRD#: 38993 / SEC#: , 8-48500
Contact information
FINRA licenses (49 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 |
Red Flags
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Company Information
HEIM, YOUNG & ASSOCIATES, INC.
CRD#: 38993Springfield, MO 65804-7211TRUST BUT VERIFY
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