Matthew D. Klein

COPLEY FINANCIAL GROUP

Uniondale, NY 11554

Some features on this profile are disabled

CRD#: 6071470

Professional summary

Matthew D Klein is a registered financial advisor currently at COPLEY FINANCIAL GROUP, INC. located in Uniondale, New York.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Matthew has worked at 4 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) UNIVERSAL CONSULTING GROUP; MARKETING LEAD GENERATIONS FOR MORTGAGES; CONSULTANT; START DATE 06/2017; APPROX 10 HRS/MONTH, 0 HRS DURING SECURITIES TRADING; CONSULTANT FOR WEBSITE LEAD GENERATION

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew D Klein's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 3, 2021 - Present

COPLEY FINANCIAL GROUP, INC.

Office #1: 405 Rxr Plaza, Uniondale, NY 11554

RIA

CRD#: 283070

Uniondale, NY

Past

January 7, 2013 - February 10, 2014

QUASAR TRADING, LLC

CRD#: 151974

SAN JUAN, PR

Past

November 15, 2012 - February 1, 2013

LEGEND TRADING, LLC

CRD#: 150567

NEW YORK, NY

Past

July 2, 2012 - August 14, 2012

LEGEND SECURITIES, INC.

CRD#: 44952

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COPLEY FINANCIAL GROUP, INC.

CRD#: 283070 / SEC#: 801-119967

RIA

Registered Investment Advisory firm - (12/14/2020 Approved)

California

Registered Investment Advisory firm - (1/17/2021 Terminated)

New York

Registered Investment Advisory firm - (12/18/2020 Terminated)

Texas

Registered Investment Advisory firm - (12/18/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(4/3/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 6/29/2012

General Securities Representative Examination

Current Firm

COPLEY FINANCIAL GROUP, INC.

CRD#: 283070 / SEC#: 801-119967

RIA

Registered Investment Advisory firm - (12/14/2020 Approved)

California

Registered Investment Advisory firm - (1/17/2021 Terminated)

New York

Registered Investment Advisory firm - (12/18/2020 Terminated)

Texas

Registered Investment Advisory firm - (12/18/2020 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2650 Camino Del Rio North, Suite 350, San Diego, CA 92108

Mailing Address

Phone number

(619) 294-6008

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEC ADV PART 2A (3/25/2025)

Regulatory assets under management

Total Number of Accounts	2,963
AUM (Assets Under Management)	$ 272,683,411

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.

Similar Advisors

Subhrajit Goon

AIMCDONNAUGH & CO. INC.

IAR

Berkeley heights, NJ

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

Jason Gilbert

RGA INVESTMENT ADVISORS, LLC

IAR

Great Neck, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matthew D. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew D Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

COPLEY FINANCIAL GROUP, INC.

QUASAR TRADING, LLC

LEGEND TRADING, LLC

LEGEND SECURITIES, INC.

Primary Firm SEC Registration

COPLEY FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 7

Date: 6/29/2012

Current Firm

COPLEY FINANCIAL GROUP, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COPLEY FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Similar Advisors