Fred 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.
Fred Klein was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1968. Fred had worked at 11 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2012 - November 15, 2012
VFINANCE INVESTMENTS, INC
August 19, 2002 - March 20, 2012
PAULSON INVESTMENT COMPANY LLC
September 2, 1999 - September 6, 2002
WEATHERLY SECURITIES CORPORATION
September 15, 1993 - September 2, 1999
FAB SECURITIES OF AMERICA, INC.
August 9, 1989 - July 16, 1993
OPPENHEIMER & CO. INC.
September 29, 1986 - July 10, 1989
SWERGOLD, CHEFITZ & INCORPORATED
January 15, 1979 - June 4, 1986
BREAN MURRAY & CO., INC.
September 19, 1977 - March 1, 1979
SCHRODER & CO. INC.
April 5, 1976 - October 12, 1977
BLYTH EASTMAN DILLON & CO. INCORPORATED
April 19, 1972 - February 8, 1976
JAS. H. OLIPHANT & CO., INC.
August 23, 1968 - March 25, 1972
DUPONT WALSTON, INCORPORATED
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
PC
Date: 1/15/1979
AMEX Put and Call ExamSeries 1
Date: 8/21/1968
Registered Representative ExaminationCurrent Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
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.
