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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Daniel? Claim Your ProfileDaniel Louis Klein has been in the financial services industry since April 1984. Daniel is currently registered with Morgan Stanley in Los Angeles, California and Texas. Daniel has been with Morgan Stanley since June 2009. Prior to that, Daniel was registered with CITIGROUP GLOBAL MARKETS INC. and FAHNESTOCK & CO. INC. Daniel holds licenses for Series 31, Series 15, Series 5, Series 7, and Series 63. Daniel is also licensed in 34 states. Daniel specializes in providing asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, portfolio management for individuals and portfolio management for investment companies.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
06/01/2017 - Present
Morgan Stanley (Los Angeles CA)
CA
06/11/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
NY
01/03/2003 - 06/13/2003
FAHNESTOCK & CO. INC. (NEW YORK NY)
NY
11/28/1989 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
CA
01/19/1987 - 12/15/1989
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NA
04/18/1984 - 02/20/1987
DREXEL BURNHAM LAMBERT INCORPORATED
IA
Issued 06/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/16/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 06/05/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 04/20/1984
Series 5 - Interest Rate Options Examination
BC
Issued 04/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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