JOSEPH KLEIN
HIGHTOWER SECURITIES
Chicago, IL 60606-3414
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CRD#: 6053477
Professional summary
JOSEPH KLEIN, CFP® is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Chicago, Illinois.
JOSEPH is registered as a RR (Registered Representative) and started their career in finance in 2014. JOSEPH has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Biography
Joseph serves as the Director of the Solutions department of The Bahnsen Group. He brings incredible skill in problem-solving to the organization, and has great passion for the tangible value that quality financial planning brings. His role at The Bahnsen Group is particularly focused on estate and tax planning, and he is a key member of our Family Office team. Joe is both a Certified Estate Planner™ and Certified Financial Planner™ professional (Boston University).
Prior to joining The Bahnsen Group, he served on the corporate Investment Solutions team at Hightower, where he co-managed over $350 million in asset allocation models as a Senior Investment Analyst. He brings a multi-faceted skillset from past career experiences, including consulting companies and municipalities in restructuring, and managing high yield lending as a Credit Analyst at Barclays Bank.
Joseph completed his Bachelor’s degree from New York University’s Stern School of Business, and holds the FINRA Series 7 & 63 licenses.
Outside of work, Joseph enjoys playing softball, improving his golf game, and cycling. In the summer, Joseph mentors college students through the Sponsors for Educational Opportunity Career program. He and his wife, Amanda, are new to Orange County after spending the last 10 years in New York City.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view JOSEPH KLEIN's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
July 13, 2018 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 200 West Madison Street Suite 2500, Chicago, IL 60606-3414BD
CRD#: 116681
Chicago, IL
Past
August 4, 2014 - May 1, 2017
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/20/2023)
RR
New York(7/13/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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