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Rafael Scott Klein

Spirit OF America Management Corp.

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About Rafael Scott Klein

Rafael Klein is a financial advisor with over 20 years of experience in the industry. He is registered with the state of Connecticut as an Investment Advisor Representative (IAR) and currently works with Spirit Of America Management Corp., an affiliated company. Rafael has a strong background in financial services, having previously worked with a variety of firms in New York City. His areas of expertise include investment advisory services and portfolio management. Rafael is also licensed to sell securities in numerous states.

Firm Information

Rafael Klein is currently registered with Spirit OF America Management Corp.. Spirit OF America Management Corp. is a registered investment adviser located in SYOSSET, NY with 34 registered representatives. They manage approximately $584,755,932 in client assets. The firm provides portfolio management for individuals and investment companies. They offer a wrap fee program and have 43 client accounts, primarily for individuals and investment companies.
Spirit OF America Management Corp.

477 JERICHO TURNPIKE

SYOSSET, NY 11791-9006

$584.76M

Assets Under Management

Not reported

Total Clients

18

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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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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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percentage of assets

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

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Rafael Klein’s Registration & Firm History

CT

03/29/2018 - Present

Spirit OF America Management Corp. (E Westport CT)

NY

09/25/2001 - 10/14/2004

FARINA & ASSOCIATES, INC. (NEW YORK NY)

NY

12/18/2000 - 09/24/2001

INVESTEC ERNST & COMPANY (NEW YORK NY)

NY

02/18/1999 - 12/18/2000

GKN SECURITIES CORP. (NEW YORK NY)

NY

10/05/1998 - 01/25/1999

HD BROUS & CO., INC. (GREAT NECK NY)

NY

04/07/1997 - 08/28/1998

GKN SECURITIES CORP. (NEW YORK NY)

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Licenses & Designations

IA

Issued 05/31/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/19/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/19/2002

Series 25 - NYSE Trading Assistant Examination

BC

Issued 04/03/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 7 public disclosures for Rafael Scott Klein. Review regulatory record here.
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