Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Klein is a financial advisor with over 40 years of experience in the industry. David is registered with RBC Capital Markets, LLC in Buffalo Grove, Illinois. David is also registered in multiple states and holds licenses in various financial products. David has previously worked with other firms such as DAIN RAUSCHER INCORPORATED, PAINEWEBBER INCORPORATED and PAINE, WEBBER, JACKSON & CURTIS INCORPORATED. David has experience advising individuals, high-net-worth individuals, charitable organizations, corporations and businesses, pension and profit-sharing plans, and government entities. David offers a variety of advisory services including portfolio management, financial planning and educational seminars.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
IL
01/23/2020 - Present
RBC Capital Markets, LLC (Buffalo Grove IL)
NA
03/11/1991 - 03/02/1998
DAIN RAUSCHER INCORPORATED
NJ
01/31/1980 - 03/14/1991
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
01/19/1980 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
IA
Issued 04/21/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/30/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/03/1990
Series 24 - General Securities Principal Examination
BC
Issued 03/07/1985
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/30/1984
Series 4 - Registered Options Principal Examination
BC
Issued 01/21/1984
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 11/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 01/19/1980
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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