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 advisor with over 30 years of experience in the industry. Robert holds a Series 3, Series 7, and Series 63 licenses, and is also a registered investment advisor. Robert is currently with Wells Fargo Clearing Services, LLC, and has been with the firm since 2016. Robert previously worked at Citigroup Global Markets Inc., Lehman Brothers Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Robert offers a variety of financial services, including financial planning, investment consulting services, and portfolio management.
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.
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.
Investment consulting services to institutional clients
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.
1
2
CA
10/24/2018 - Present
Wells Fargo Clearing Services, LLC (NEWPORT BEACH CA)
CA
07/31/1993 - 02/17/2009
CITIGROUP GLOBAL MARKETS INC. (IRVINE CA)
NY
06/10/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
02/16/1990 - 06/26/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 07/28/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/20/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/1995
Series 3 - National Commodity Futures Examination
BC
Issued 02/10/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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