Charles E. 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.
Charles Edward Klein was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1987. Charles had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2014 - November 18, 2014
SECURITIES AMERICA, INC.
February 6, 2009 - November 14, 2014
SUNSET FINANCIAL SERVICES, INC.
September 6, 2002 - January 13, 2009
SIGNATOR INVESTORS, INC.
October 15, 1998 - February 1, 2000
HIMCO DISTRIBUTION SERVICES COMPANY
February 22, 1997 - August 22, 2002
LIFEMARK SECURITIES CORP.
February 29, 1996 - September 23, 1998
JOHN HANCOCK DISTRIBUTORS LLC
February 28, 1996 - September 23, 1998
JOHN HANCOCK DISTRIBUTORS LLC
September 20, 1995 - May 14, 1997
HIMCO DISTRIBUTION SERVICES COMPANY
October 5, 1994 - June 23, 1995
KEOGLER, MORGAN & COMPANY, INC.
June 1, 1994 - September 26, 1994
NATHAN & LEWIS SECURITIES, INC.
March 9, 1994 - June 21, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 9, 1994 - June 21, 1995
OSAIC FA, INC.
July 20, 1987 - February 14, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 20, 1987 - February 14, 1994
SIGNATOR INVESTORS, 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
Series 1
Date: 10/23/1979
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
