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PETER KLEIN
CRD#: 271489
IA
B
MORGAN STANLEYCRD#: 149777 220 Alhambra Circle
10Th Floor
Coral Gables, FL 33134
10Th Floor
Coral Gables, FL 33134
0
Disclosures
56
Years of Experience
View By:
State Registrations
B
California 6/1/2009
B
New York 6/1/2009
B
Colorado 3/9/2020
B
North Carolina 6/1/2009
B
Connecticut 6/1/2009
B
Ohio 7/25/2014
B
District of Columbia 6/1/2009
B
Oregon 6/22/2023
B
Florida 6/1/2009
B
Pennsylvania 1/30/2014
IA
Florida 6/1/2009
B
South Carolina 3/9/2020
B
Georgia 6/1/2009
B
Texas 2/23/2018
B
Illinois 3/6/2013
IA
Texas 4/23/2020
B
Massachusetts 6/28/2021
B
Virginia 7/15/2022
B
New Jersey 6/9/2020
B
Washington 7/24/2017
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 | 04/17/1991 - 06/01/2009 | MIAMI, FL | |
B | 05/22/1989 - 06/01/2009 | MIAMI, FL | |
B | 12/12/1978 - 05/22/1989 | ||
B | 09/16/1977 - 01/22/1979 | ||
B | 08/27/1976 - 09/16/1977 | ||
B | 02/27/1976 - 08/27/1976 | ||
B | 06/26/1968 - 02/27/1976 |
08/27/1976 - 09/16/1977
02/27/1976 - 08/27/1976
06/26/1968 - 02/27/1976
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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.