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Martin A Klein

RBC Capital Markets, LLC

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About Martin A Klein

Martin Klein is a financial advisor with over 30 years of experience in the industry. Martin Klein is currently registered with RBC Capital Markets, LLC and has been with the firm since June 2014. Prior to that, Martin Klein was with J.P. MORGAN SECURITIES LLC from November 2007 to July 2014. Martin Klein provides financial planning, portfolio management, and pension consulting services to individual and business clients. Martin Klein holds a Series 3, Series 7, Series 63 and Series 65 licenses and is registered to conduct business in numerous states across the US.

Firm Information

Martin Klein is currently registered with RBC Capital Markets, LLC. RBC Capital Markets, LLC is a Limited Liability Company formed in 2010 and headquartered in New York, NY. The firm is a Registered Investment Advisor with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. RBC Capital Markets, LLC offers a wide range of advisory services, including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. The firm serves a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and pooled investment vehicles. RBC Capital Markets, LLC manages more than $50 billion in assets.
RBC Capital Markets, LLC

200 VESEY ST.

NEW YORK, NY 10281

$259.96B

Assets Under Management

1,784

Total Clients

4,423

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Martin Klein’s Registration & Firm History

CA

07/25/2014 - Present

RBC Capital Markets, LLC (NEWPORT BEACH CA)

CA

11/16/2007 - 07/11/2014

J.P. MORGAN SECURITIES LLC (NEWPORT BEACH CA)

CA

04/02/2007 - 11/19/2007

MORGAN STANLEY & CO., INCORPORATED (NEWPORT BEACH CA)

CA

04/25/2000 - 04/02/2007

MORGAN STANLEY DW INC. (NEWPORT BEACH CA)

NY

12/22/1987 - 05/10/2000

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 02/10/1994

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/30/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/01/1988

Series 3 - National Commodity Futures Examination

BC

Issued 12/19/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are 5 public disclosures for Martin A Klein. Review regulatory record here.
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