Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karl? Claim Your ProfileKarl Klein is a financial advisor with over 39 years of experience in the industry. Karl is currently registered with LPL Financial LLC and has been with the firm since 2021. Prior to joining LPL Financial LLC, Karl was employed by various other firms such as PaineWebber Incorporated, Equico Securities, Inc. and The Equitable Life Assurance Society of the United States. Karl has a strong track record of success in providing financial advice to a wide range of clients, including high-net-worth individuals, corporations, and pension plans. Karl's expertise lies in providing financial planning, investment management, and retirement planning services. Karl is committed to providing his clients with personalized advice and guidance to help them achieve their financial goals.
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
NY
08/03/2021 - Present
LPL Financial LLC (GLENS FALLS NY)
NJ
04/16/1991 - 01/27/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/18/1988 - 11/26/1991
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
05/18/1988 - 11/26/1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NA
05/14/1988 - 06/22/1988
SHEARSON LEHMAN HUTTON INC.
NA
10/19/1983 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
12/03/1982 - 09/06/1983
EQUICO SECURITIES, INC.
NA
12/03/1982 - 09/06/1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BC
Issued 11/10/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/12/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1983
Series 7 - General Securities Representative Examination
BC
Issued 12/02/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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