Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dennis? Claim Your ProfileDennis C. Klein is a financial advisor with UBS Financial Services Inc. Dennis is registered with FINRA and has over 35 years of experience in the financial services industry. Dennis specializes in providing financial advice to individuals, businesses, and institutions. His expertise includes retirement planning, investment management, and estate planning. Dennis is dedicated to providing his clients with personalized financial guidance to help them achieve their goals. Dennis holds a Series 7 and Series 63 license.
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.
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.
See schedule d - miscellaneous
1
2
OH
03/09/2010 - Present
UBS Financial Services Inc. (CINCINNATI OH)
OH
07/31/1993 - 03/19/2009
CITIGROUP GLOBAL MARKETS INC. (CINCINNATI OH)
NY
07/21/1983 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 07/29/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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