Gerald L. Klein
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gerald Lee Klein, who also goes by Jerry Klein, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1981. Gerald had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 1994 - October 30, 2014
QUEST CAPITAL STRATEGIES, INC.
January 26, 1994 - March 31, 1994
AEGON USA SECURITIES INC.
October 11, 1991 - December 11, 1993
TITAN/VALUE EQUITIES GROUP, INC.
April 26, 1990 - October 16, 1991
AMERICAN GENERAL EQUITY SERVICES CORPORATION
October 5, 1987 - December 1, 1989
TRANSAMERICA SECURITIES SALES CORPORATION
October 5, 1987 - December 1, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 14, 1986 - August 26, 1987
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
March 11, 1986 - April 28, 1986
METRIC CAPITAL CORPORATION
March 13, 1984 - October 1, 1985
PRUDENTIAL EQUITY GROUP, LLC
November 23, 1981 - April 5, 1984
E. F. HUTTON & COMPANY INC
June 23, 1981 - December 2, 1981
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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