Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phyllis? Claim Your ProfilePhyllis Ann Klein is a financial advisor at Osaic Wealth, Inc. based in Stockton, CA. Phyllis has been in the financial services industry since 1992 and has a strong track record of providing financial advice to a wide range of clients. Phyllis has experience in various financial services areas including investment advice, insurance, and retirement planning. Phyllis also holds the Series 6, 7, 63, and 66 licenses. She is dedicated to providing personalized financial guidance to her clients.
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.
A percentage of the total value of assets under management is charged.
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2
CA
11/02/2018 - Present
Osaic Wealth, Inc. (STOCKTON CA)
CA
05/13/2016 - 11/02/2018
SIGNATOR INVESTORS, INC. (STOCKTON CA)
CA
08/10/2015 - 05/13/2016
TRANSAMERICA FINANCIAL ADVISORS, INC (STOCKTON CA)
CA
08/13/2008 - 10/03/2008
FINANCIAL NETWORK INVESTMENT CORPORATION (STOCKTON CA)
CA
11/05/2004 - 08/13/2008
PENSION PLANNERS SECURITIES, INC. (STOCKTON CA)
NY
05/29/2002 - 11/08/2004
PARK AVENUE SECURITIES LLC (NEW YORK NY)
WI
10/19/1992 - 04/04/2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
WI
10/19/1992 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BOTH
Issued 09/04/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/16/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2015
Series 7 - General Securities Representative Examination
BC
Issued 10/16/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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