Allen Klein

STONE CREEK CAPITAL MANAGEMENT LLC

Boca Raton, FL 33431

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CRD#: 6953284

Professional summary

Allen Klein is a registered financial advisor currently at STONE CREEK CAPITAL MANAGEMENT LLC located in Boca Raton, Florida and PURSHE KAPLAN STERLING INVESTMENTS located in Boynton Beach, Florida.

Allen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Allen has worked at 7 firms and has passed the Series 66, Series 63, Series 3, Series 7TO and SIE exams.

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. Stone Creek Capital Management LLC - Investment Related - At Registered Location - RIA - Client Service Manager - 7/15/2024 - 160 Hours/Mo; All During Trading Hours - RIA Employee (Non-Producer), Admin

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Allen 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

July 25, 2024 - Present

STONE CREEK CAPITAL MANAGEMENT LLC

Office #1: 2799 Nw 2nd Ave Suite 103, Boca Raton, FL 33431

RIA

CRD#: 284775

Boca Raton, FL

Current

August 16, 2024 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 8198 Jog Road Suite 205, Boynton Beach, FL 33472

CRD#: 35747

Boynton Beach, FL

Past

July 7, 2023 - July 3, 2024

MERIT FINANCIAL ADVISORS

RIA

CRD#: 142457

Boynton Beach, FL

Past

June 23, 2023 - July 3, 2024

LPL FINANCIAL LLC

CRD#: 6413

BOYNTON BEACH, FL

Past

October 19, 2022 - March 13, 2023

NFSG CORPORATION

RIA

CRD#: 130814

BOCA RATON, FL

Past

January 17, 2020 - March 13, 2023

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

BOCA RATON, FL

Past

March 2, 2019 - January 31, 2020

TRADESTATION SECURITIES, INC.

CRD#: 39473

PLANTATION, FL

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".

STONE CREEK CAPITAL MANAGEMENT LLC

CRD#: 284775 / SEC#: 801-109948

RIA

Registered Investment Advisory firm - (2/7/2017 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.

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

IAR

Florida
(7/25/2024)

Florida
(8/16/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/8/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/18/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/9/2019

National Commodity Futures Examination

General Industry/Product Exam

Series 7TO

Date: 3/2/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/21/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

STONE CREEK CAPITAL MANAGEMENT LLC

CRD#: 284775 / SEC#: 801-109948

RIA

Registered Investment Advisory firm - (2/7/2017 Approved)

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Contact information

Main Address

2400 Lakeview Parkway Suite 550, Alpharetta, GA 30009

Mailing Address

Phone number

(678) 867-7050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STONE CREEK CAPITAL LLC BROCHURE (3/3/2025)

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.

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Allen Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

MERIT FINANCIAL ADVISORS

LPL FINANCIAL LLC

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

TRADESTATION SECURITIES, INC.

Primary Firm SEC Registration

STONE CREEK CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2022

Series 63

Date: 4/18/2019

Series 3

Date: 5/9/2019

Series 7TO

Date: 3/2/2019

SIE

Date: 2/21/2019

FINRA

Current Firm

STONE CREEK CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

STONE CREEK CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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