Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allan? Claim Your ProfileAllan Klein has been in the financial services industry since 2008. Allan is currently a Registered Representative at Mufg Securities Americas Inc.. Allan was previously affiliated with REGIONS SECURITIES LLC, MORGAN STANLEY SMITH BARNEY, CIT CAPITAL SECURITIES LLC, CITIGROUP GLOBAL MARKETS INC., WACHOVIA CAPITAL MARKETS, LLC, and WACHOVIA SECURITIES, LLC. Allan is a Series 7, Series 63, Series 79, and SIE licensed advisor.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
03/15/2021 - Present
Mufg Securities Americas Inc. (NEW YORK NY)
GA
02/22/2016 - 10/26/2020
REGIONS SECURITIES LLC (Atlanta GA)
TX
07/28/2010 - 09/02/2010
MORGAN STANLEY SMITH BARNEY (AUSTIN TX)
NY
01/24/2008 - 07/01/2009
CIT CAPITAL SECURITIES LLC (NEW YORK NY)
NY
06/23/2005 - 12/21/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NC
07/01/2003 - 05/17/2005
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
10/15/2001 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
12/06/2000 - 10/15/2001
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
BC
Issued 03/22/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2016
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 12/05/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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