Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Shane? Claim Your ProfileShane Brandon Klein is a registered representative with Smbc Nikko Securities America, Inc. Shane has been in the financial services industry since 1996. Shane holds the Series 7, Series 24, Series 63, Series 79, and SIE licenses.
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
NY
05/21/2014 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
03/04/2011 - 07/12/2013
LLOYDS SECURITIES (NEW YORK NY)
NY
04/26/2004 - 01/04/2006
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
NY
09/15/1999 - 04/26/2004
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
11/11/1996 - 09/07/1999
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NJ
05/07/1996 - 10/14/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 04/18/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2021
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 05/06/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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