Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jan? Claim Your ProfileJan Klein is a financial advisor with over 20 years of experience in the financial services industry. Jan has been a registered representative with LPL Financial LLC since 2010 and holds a Series 7, Series 9, Series 24, Series 31, Series 63 and Series 65. Jan is experienced in working with individuals, businesses, corporations, charitable organizations, and pension and profit sharing plans. Jan's experience includes providing portfolio management for individuals and businesses, financial planning, educational seminars, and selection of other advisors.
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.
Consulting and other non-discretionary advisory services
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
OR
09/25/2012 - Present
LPL Financial LLC (PORTLAND OR)
CA
06/01/2009 - 01/19/2010
MORGAN STANLEY SMITH BARNEY (SAN DIEGO CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN DIEGO CA)
CA
10/10/2003 - 04/02/2007
MORGAN STANLEY DW INC. (SAN DIEGO CA)
NJ
12/14/1998 - 10/30/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
IA
Issued 01/08/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/18/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/09/2010
Series 24 - General Securities Principal Examination
BC
Issued 11/20/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 12/09/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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