JK
Jeffrey D. Klein
SCHWAB WEALTH ADVISORY
Lone Tree, CO 80124
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CRD#: 6721111
JK
Professional summary
Jeffrey David Klein, CFP®, who also goes by Jeff D Klein, Jeff Klein, Jeffrey D Klein, Jeffrey Klein, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Lone Tree, Colorado and CHARLES SCHWAB & CO., INC. located in Lone Tree, Colorado.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Jeffrey has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeff D Klein | Jeff Klein | Jeffrey D Klein | Jeffrey 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.
USA HOCKEY; 08/20/2005; GOLDEN, COLORADO; NOT INVESTMENT RELATED; ON ICE OFFICIAL; NOT DURING SECURITIES TRADING HOURS; HOURS PER MONTH VARIES: Start Date = 12-29-20| RLK Real Estate, LLC| Part Owner, Manager| Denver, CO| Hours/Month = Less than 20| My wife, Courtney; parents, Donald and Christina Klein; and I make up the ownership and membership of an LLC. Articles of Organization were filed with the State of Colorado on 12/29/2020. The entity was formed to formalize the ownership structure of a rental townhome at 16069 E Elk Dr, Denver, CO, 80238, purchase in June of 2020 and previously disclosed. Courtney and I are listed as managers of the LLC. We have entered into a lease agreement with tenants and will manage the property going forward. At this time there are not plans to purchase more properties or expand the business of the LLC beyond the current investment. Courtney and I each own a 35% share of the LLC and Don and Chris jointly own the other 30%.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey David 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
May 18, 2018 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 9800 Schwab Way, Lone Tree, CO 80124RIA
CRD#: 159035
Lone Tree, CO
Current
February 28, 2017 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 9800 Schwab Way, Lone Tree, CO 80124RIA
BD
CRD#: 5393
Lone Tree, CO
Past
June 3, 2017 - May 18, 2018
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
SAN FRANCISCO, CA
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".
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
Registered Investment Advisory firm - (12/9/2011 Approved)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.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
Arizona(1/2/2018)
RR
California(3/7/2017)
RR
Colorado(2/28/2017)
IAR
Colorado(5/18/2018)
RR
Florida(2/7/2024)
RR
Georgia(2/7/2024)
RR
Idaho(5/21/2018)
RR
Illinois(2/7/2024)
RR
Iowa(2/7/2024)
RR
Maine(5/21/2018)
RR
Massachusetts(2/7/2024)
RR
Michigan(9/17/2021)
RR
Minnesota(1/19/2022)
RR
Montana(8/28/2024)
RR
Nevada(5/21/2018)
RR
New Mexico(2/7/2024)
RR
New York(1/19/2022)
RR
North Carolina(2/25/2022)
RR
North Dakota(9/19/2024)
RR
Oklahoma(8/28/2024)
RR
Oregon(1/2/2018)
RR
Pennsylvania(10/22/2024)
RR
Texas(1/2/2018)
IAR
Texas(1/4/2021)
RR
Utah(2/26/2018)
RR
Washington(1/2/2018)
RR
Wisconsin(2/3/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SW
SCHWAB WEALTH ADVISORY, INC.
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. | SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
RIA
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Contact information
Main Address
211 Main Street, San Francisco, CA 94105-1901
Mailing Address
Phone number
(415) 667-7000
Established
Firm type
Fiscal year end
# of Employees
1,042
SEC notice filing (53 States and Territories)
Red Flags
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