Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Oren? Claim Your ProfileOren Brett Klein is an active investment advisor representative with UBS Financial Services Inc. Oren is also an active investment advisor. Oren has been in the securities industry since August 7, 2011. Oren has passed the Uniform Investment Adviser Law Examination, the Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination and the General Securities Representative Examination. Oren has a total of 10 approved SRO registrations, 1 approved FINRA registration, 2 approved state registrations and 1 approved IA state registration. In addition to UBS Financial Services Inc., Oren has previously been registered with Wells Fargo Advisors, LLC and Newport Coast Securities, Inc..
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.
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.
See schedule d - miscellaneous
1
2
NJ
02/12/2018 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
FL
08/23/2012 - 04/21/2015
WELLS FARGO ADVISORS, LLC (HALLANDALE FL)
FL
09/14/2009 - 07/13/2012
NEWPORT COAST SECURITIES, INC. (WEST PALM BEACH FL)
IA
Issued 02/02/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/28/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2009
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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