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MK

Martin Ko

THE KLEIN GROUP
New York, NY 10019
Some features on this profile are disabled
CRD#: 7408639
MK

Professional summary

Martin Ko is a registered financial professional currently at THE KLEIN GROUP, LLC located in New York, New York.

Martin is registered as a RR (Registered Representative) and started their career in finance in 2021. Martin has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Martin Ko'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®
None

Experience

Current

July 29, 2024 - Present

THE KLEIN GROUP, LLC

Office #1: 640 5th Avenue 12th Floor, New York, NY 10019
BD
CRD#: 46472
New York, NY
Past

September 3, 2021 - February 13, 2024

LAZARD FRERES & CO. LLC

BD
CRD#: 2528
NEW YORK, NY

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
New York
(1/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/7/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/3/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/17/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TK
THE KLEIN GROUP, LLC
CAPITALINK, L.C. | THE KLEIN GROUP, LLC

CRD#: 46472 / SEC#: , 8-51430

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

Main Address
640 5th Avenue 12th Floor, New York, NY 10019
Mailing Address
640 5th Avenue 12th Floor, New York, NY 10019
Phone number
(212) 409-2412
Established
Florida since 09/29/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
M.KLEIN AND COMPANY, LLCDIRECT OWNER
KLEIN, MARK DAVIDCEO, MANAGING MEMBER1783756
KLEIN, MICHAEL STUARTPRINCIPAL1890478
MENDOLA, JOSEPH ANGELOCCO, EXECUTIVE REP, AML CCO2876577
TARAGIN, LEE JAYCHIEF FINANCIAL OFFICER

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

THE KLEIN GROUP, LLC

CRD#: 46472New York, NY 10019

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