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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Christopher Klein is an active financial advisor with RBC Capital Markets, LLC. Thomas has over 38 years of experience in the financial services industry, having worked at several firms before joining RBC Capital Markets in 2011. He has a Series 3, 7 and 63 license and a Series 65 license for investment advisory services, in addition to the Securities Industry Essentials (SIE) exam. He is also a Certified Financial Planner. Thomas is registered with the Financial Industry Regulatory Authority (FINRA) and is currently registered in North Carolina, New Jersey, and New York. Thomas has specializations in various investment areas including retirement planning, college savings, investment management, and insurance. Thomas has experience working with individuals, corporations, charitable organizations, pension and profit-sharing plans, and state and municipal government entities.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
NJ
08/09/2022 - Present
RBC Capital Markets, LLC (FLORHAM PARK NJ)
MA
09/01/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NJ
05/19/1999 - 09/01/1999
GIBRALTAR SECURITIES CO. (FLORHAM PARK NJ)
NY
06/10/1994 - 05/03/1999
CADARET, GRANT & CO., INC. (SYRACUSE NY)
NY
07/31/1993 - 07/07/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/21/1986 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
08/19/1980 - 07/07/1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 08/11/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/10/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/1988
Series 3 - National Commodity Futures Examination
BC
Issued 01/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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