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JK

Jonathon P. Klein

303 ALTERNATIVES
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 6301508
JK

Professional summary

Jonathon Patrick Klein, who also goes by Jon Klein, Jonno Klein, is a registered financial professional currently at 303 ALTERNATIVES, LLC located in Chicago, Illinois.

Jonathon is registered as a RR (Registered Representative) and started their career in finance in 2023. Jonathon has worked at 1 firm and has passed the Series 63, Series 82TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jon Klein | Jonno Klein

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jonathon Patrick 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

March 27, 2023 - Present

303 ALTERNATIVES, LLC

Office #1: 401 West Superior Street, Chicago, IL 60654
BD
CRD#: 166675
Chicago, IL

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
Illinois
(5/25/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/25/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/27/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 4/20/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

3A
303 ALTERNATIVES, LLC
303 ALTERNATIVES, LLC | 303 CAPITAL MARKETS, LLC

CRD#: 166675 / SEC#: , 8-69225

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
401 West Superior Street, Chicago, IL 60654
Mailing Address
401 West Superior Street, Chicago, IL 60654
Phone number
(312) 605-8000
Established
Delaware since 10/23/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HAMILTON LANE PARTNERS LLCMEMBER
SAVINI, MICHAEL PATRICKMANAGING PRINCIPAL5117892
THOMPSON, STANLEY JOHN IIIMANAGING PRINCIPAL & CCO2455853
URBANOWSKI, JAMES FRANCISCFO1963215

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.

Company Information

303 ALTERNATIVES, LLC

CRD#: 166675Chicago, IL 60654

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