Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Klein is a financial professional with over 27 years of experience in the industry. Currently, Robert is registered with Pershing LLC as a General Securities Principal. Robert has held previous roles with J.P. Morgan Securities Inc., J.P. Morgan Clearing Corp., Wedbush Morgan Securities Inc., Lazar Frederick & Company, and Sunamerica Securities, Inc. Robert has a strong background in the financial services industry, holding licenses for Series 6, 7, 9, 10, 23, 24, 52, 63, 99, and the SIE exam. Robert specializes in providing financial advice to individuals and families.
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.
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.
1
2
NJ
05/07/2010 - Present
Pershing LLC (JERSEY CITY NJ)
CA
09/29/1997 - 02/12/2010
J.P. MORGAN SECURITIES INC. (LOS ANGELES CA)
CA
01/05/2009 - 12/31/2009
J.P. MORGAN CLEARING CORP. (LOS ANGELES CA)
CA
09/21/1998 - 12/31/2008
J.P. MORGAN CLEARING CORP. (LOS ANGELES CA)
CA
04/22/1996 - 04/16/1997
WEDBUSH MORGAN SECURITIES INC. (LOS ANGELES CA)
CA
01/12/1995 - 01/12/1996
LAZAR FREDERICK & COMPANY (BEVERLY HILLS CA)
AZ
09/29/1993 - 04/25/1994
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
BC
Issued 10/25/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 12/28/2005
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 04/11/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/13/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/01/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/1998
Series 7 - General Securities Representative Examination
BC
Issued 09/21/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
MIAX Sapphire
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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