Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jerome? Claim Your ProfileJerome Klein is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. and has been in the securities industry since December 3, 1994. Jerome is a general partner for Wealth Advisory E.A., a for-profit organization in Los Angeles, California. Jerome Klein has a Series 3, 7, 31, and 63, and a SIE license. Jerome Klein has worked at CS First Boston Corporation, J.P. Morgan Securities Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. Jerome currently holds registrations in Texas and California. Jerome has also been registered in 50 other states and the District of Columbia. Jerome specializes in providing investment advisory services to corporations, insurance companies, charitable organizations, pension and profit-sharing plans, high-net-worth individuals, individuals, state or municipal government entities, and banking or thrift institutions.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
01/13/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
NA
02/08/1999 - 03/02/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NY
05/15/1996 - 02/08/1999
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
11/30/1994 - 05/10/1996
CS FIRST BOSTON CORPORATION (NEW YORK NY)
IA
Issued 12/06/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 11/23/1994
Series 3 - National Commodity Futures Examination
BC
Issued 10/24/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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