Individual Firm
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JEFFREY EDWARD KLEIN
JEFFREY E KLEIN
CRD#: 2492273
IA
B
WELLS FARGO ADVISORSCRD#: 19616 8474 ROZITA LEE AVE STE 400
LAS VEGAS, NV 89113
LAS VEGAS, NV 89113
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9/23/1999
Customer Dispute
Denied
State Registrations
B
Arizona 7/1/2003
B
New Mexico 5/18/2015
B
California 7/1/2003
B
New York 7/1/2003
B
Florida 7/1/2003
B
North Carolina 7/1/2003
B
Georgia 6/22/2021
B
Ohio 9/19/2022
B
Illinois 7/25/2022
B
Oklahoma 7/1/2003
B
Indiana 8/16/2021
B
Oregon 9/20/2023
B
Louisiana 10/21/2005
B
Pennsylvania 9/11/2020
B
Missouri 11/13/2018
B
Texas 1/11/2010
B
Montana 9/13/2016
IA
Texas 1/11/2010
B
Nevada 7/1/2003
B
Utah 7/1/2003
IA
Nevada 7/1/2003
B
Washington 7/1/2003
B
New Hampshire 4/27/2021
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 7/1/2003
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Registered with this firm since 7/1/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/20/2003 - 07/01/2003 | LAS VEGAS, NV | |
B | 06/18/1999 - 07/01/2003 | NEW YORK, NY | |
B | 07/07/1994 - 06/23/1999 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.