Gerald H. 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.
Gerald Howard Klein, who also goes by Jerry Klein, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1970. Gerald had worked at 14 firms and has passed the Series 63, Series 5, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2005 - December 31, 2010
GERALD KLEIN & ASSOCIATES
January 28, 1994 - March 5, 2018
KLEIN PAVLIS & PEASLEY FINANCIAL, INC.
March 8, 1993 - December 31, 1998
PACIFIC SUMMIT SECURITIES
February 26, 1991 - February 17, 1993
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
August 31, 1990 - January 17, 1991
HOLFORD SECURITIES (U.S.), INC.
June 23, 1982 - October 29, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - October 19, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
January 18, 1978 - June 25, 1978
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
March 16, 1976 - January 4, 1977
LOEB, RHOADES & CO. INC.
May 13, 1975 - January 4, 1976
MF GLOBAL INC.
April 2, 1974 - June 1, 1975
CRUTTENDEN, GUST & MERHAB, INCORPORATED
October 15, 1970 - October 28, 1973
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
Series 5
Date: 10/5/1982
Interest Rate Options ExaminationPC
Date: 1/17/1981
AMEX Put and Call ExamSeries 1
Date: 5/1/1962
Registered Representative ExaminationCurrent firm
No current employment
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.
