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NEIL KLEIN
NEIL KEVIN KLEIN
CRD#: 1681779
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3 Manhattanville Road
Suite 210
Purchase, NY 10577
Registration History
199019952000200520102015202020252 FIRMS2006 - Present (18 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2000 - 2006 (5 years)BADVEST, INC. (CRD# 10)1987 - 2000 (12 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2002 - 2006 (4 years)
License(s)

State Registrations

B
Arizona 3/21/2022

B
Nevada 3/28/2022

B
California 4/28/2006

B
New Jersey 4/28/2006

B
Colorado 3/31/2022

B
New Mexico 3/14/2022

B
Connecticut 4/28/2006

B
New York 4/28/2006

IA
Connecticut 4/28/2006

IA
New York 4/19/2022

B
Delaware 4/5/2022

B
North Carolina 4/28/2006

B
District of Columbia 5/25/2006

B
Ohio 3/31/2022

B
Florida 4/28/2006

B
Oregon 8/10/2018

IA
Florida 11/21/2019

B
Pennsylvania 4/28/2006

B
Georgia 4/28/2006

B
Rhode Island 4/20/2022

B
Illinois 3/31/2022

B
South Carolina 4/4/2022

B
Louisiana 3/14/2022

B
Tennessee 4/1/2022

B
Maryland 4/28/2006

B
Texas 4/1/2022

B
Massachusetts 6/18/2009

IA
Texas 4/3/2023

B
Michigan 3/16/2022

B
Virginia 3/31/2022

B
Minnesota 3/14/2022

B
Washington 12/21/2021

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3 Manhattanville Road Suite 210, Purchase, NY 10577
Sleepy Hollow, NY
Registered with this firm since 4/28/2006

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3 Manhattanville Road Suite 210, Purchase, NY 10577
Sleepy Hollow, NY
Registered with this firm since 4/28/2006

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/11/2002 - 04/28/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) WHITE PLAINS, NY
B
05/26/2000 - 04/28/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
08/13/1987 - 06/05/2000 ADVEST, INC. (CRD#:10) HARTFORD, CT
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.