Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jason? Claim Your ProfileJason Kleis is a financial professional with over 25 years of experience in the industry. Jason is currently registered with RBC Capital Markets, LLC, and has previously worked at Stifel, Nicolaus & Company, Incorporated, UBS Financial Services Inc., RBC Dain Rauscher Inc., Piper Jaffray & Co., and Salomon Smith Barney Inc. Jason holds Series 63, 65, 66, 7, 9, and 10 licenses. Jason works with a variety of clients including high net worth individuals, corporations, trusts, and retirement plans.
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
SD
05/12/2016 - Present
RBC Capital Markets, LLC (Dakota Dunes SD)
IA
10/16/2009 - 05/23/2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED (SIOUX CITY IA)
IA
08/12/2006 - 10/16/2009
UBS FINANCIAL SERVICES INC. (SIOUX CITY IA)
IA
08/24/2007 - 09/17/2007
RBC DAIN RAUSCHER INC. (SIOUX CITY IA)
KS
10/19/1998 - 08/12/2006
PIPER JAFFRAY & CO. (LEAWOOD KS)
NY
11/27/1996 - 10/27/1998
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 10/29/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/17/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/09/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/09/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/26/1996
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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