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KEITH TERRENCE KLEIN
CRD#: 2632615
IA
B
THE AMERIFLEX GROUPCRD#: 305585 60 EAST RIO SALADO PARKWAY
Suite 900
Tempe, AZ 85281
Suite 900
Tempe, AZ 85281
OSAIC WEALTH, INC.CRD#: 23131 GILBERT, AZ
0
Disclosures
27
Years of Experience
View By:
State Registrations
IA
Arizona 2/10/2020
B
New Hampshire 9/1/2023
B
Arizona 9/1/2023
B
New Mexico 9/1/2023
B
California 9/1/2023
B
North Carolina 9/1/2023
B
Colorado 9/1/2023
B
Ohio 9/1/2023
B
Georgia 9/1/2023
B
Pennsylvania 5/23/2024
B
Illinois 9/1/2023
IA
Texas 2/1/2020
B
Michigan 9/1/2023
B
Texas 9/1/2023
B
Minnesota 9/1/2023
B
Virginia 9/1/2023
SRO Registrations
B
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IA
Registered with this firm since 2/1/2020
B
Registered with this firm since 9/1/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/31/2020 - 09/01/2023 | TEMPE, AZ | |
B | 12/08/2016 - 02/03/2020 | TEMPE, AZ | |
IA | 04/18/2018 - 01/31/2020 | PHOENIX, AZ | |
IA | 03/29/2011 - 12/31/2018 | Phoenix, AZ | |
B | 03/23/2011 - 12/08/2016 | Phoenix, AZ | |
IA | 04/26/2005 - 03/31/2011 | PHOENIX, AZ | |
B | 12/23/1998 - 03/31/2011 | PHOENIX, AZ | |
B | 12/23/1998 - 01/01/2002 | MILWAUKEE, WI | |
B | 07/11/1995 - 04/10/1997 | MILWAUKEE, WI | |
B | 07/11/1995 - 04/03/1997 | MILWAUKEE, WI |
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B
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.