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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Klein is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Brian has been in the industry since 2000 and is registered in 53 states. Brian has a broad range of experience with investment companies, insurance companies, and pension and profit sharing plans. Brian also provides portfolio management services to individuals and businesses.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
03/27/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MIAMI FL)
FL
03/13/2018 - 03/04/2019
BB&T SECURITIES, LLC (BOCA RATON FL)
FL
04/17/2015 - 03/12/2018
WELLS FARGO CLEARING SERVICES, LLC (BOCA RATON FL)
FL
07/29/2013 - 04/27/2015
MORGAN STANLEY (BOCA RATON FL)
FL
09/04/2008 - 07/25/2013
CITIGROUP GLOBAL MARKETS INC. (MIAMI FL)
FL
01/03/2008 - 08/11/2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (FORT LAUDERDALE FL)
FL
05/29/2007 - 12/13/2007
CITIGROUP GLOBAL MARKETS INC. (MIAMI FL)
FL
09/19/2003 - 05/29/2007
CITICORP INVESTMENT SERVICES (MIAMI FL)
MA
11/13/2002 - 09/22/2003
SIGNATOR INVESTORS, INC. (BOSTON MA)
NY
01/31/2002 - 09/24/2002
SCHONFELD SECURITIES, LLC (JERICHO NY)
PA
08/02/2000 - 10/02/2001
NAVILLUS SECURITIES, INC. (WEST CONSHOHOCKEN PA)
IA
Issued 03/12/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/21/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/19/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/21/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/30/2004
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/06/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/06/2013
Series 3 - National Commodity Futures Examination
BC
Issued 06/20/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/01/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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