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JAMES ROBERT KLEIN
CRD#: 2681952
IA
B
MORGAN STANLEYCRD#: 149777 1999 Avenue Of The Stars
Suite 2400
Los Angeles, CA 90067
Suite 2400
Los Angeles, CA 90067
0
Disclosures
29
Years of Experience
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State Registrations
B
Alabama 10/8/2021
B
Montana 11/17/2020
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Jersey 2/3/2014
IA
California 6/1/2009
B
New Mexico 2/24/2011
B
Colorado 6/1/2009
B
New York 6/1/2009
B
Connecticut 6/25/2019
B
North Carolina 6/15/2023
B
Delaware 5/21/2018
B
Oregon 6/1/2009
B
District of Columbia 5/10/2022
B
Pennsylvania 6/30/2014
B
Florida 6/1/2009
B
Puerto Rico 3/3/2023
B
Georgia 9/28/2020
B
South Carolina 5/21/2024
B
Hawaii 6/1/2009
B
South Dakota 8/9/2021
B
Idaho 11/4/2019
B
Tennessee 3/16/2021
B
Illinois 6/1/2009
B
Texas 6/1/2009
B
Kansas 10/26/2022
IA
Texas 2/12/2014
B
Kentucky 6/15/2018
B
Utah 9/27/2016
B
Maryland 1/29/2021
B
Virginia 6/1/2009
B
Massachusetts 4/8/2022
B
Washington 6/1/2009
B
Michigan 6/6/2019
B
Wyoming 12/26/2014
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/28/2008 - 06/01/2009 | LOS ANGELES, CA | |
B | 05/27/2008 - 06/01/2009 | LOS ANGELES, CA | |
IA | 07/08/1997 - 05/30/2008 | LOS ANGELES, CA | |
B | 01/22/1996 - 05/30/2008 | LOS ANGELES, CA |
LOS ANGELES, CA
07/08/1997 - 05/30/2008
LOS ANGELES, CA
01/22/1996 - 05/30/2008
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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.