Individual Firm
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EDWARD LEE KLEIN
CRD#: 2799826
IA
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MORGAN STANLEYCRD#: 149777 1801 North Military Trail
Suite 300
Boca Raton, FL 33431
Suite 300
Boca Raton, FL 33431
View By:
12/19/2011
Customer Dispute
Settled
State Registrations
B
Alaska 4/3/2024
B
Montana 2/27/2024
B
Arizona 6/1/2009
B
Nevada 6/1/2009
B
California 6/1/2009
B
New Jersey 6/1/2009
B
Colorado 11/10/2022
B
New Mexico 2/27/2024
B
Connecticut 8/25/2023
B
New York 6/1/2009
B
Delaware 9/4/2020
B
North Carolina 6/1/2009
B
District of Columbia 6/11/2010
B
Ohio 8/14/2017
B
Florida 6/1/2009
B
Oregon 2/24/2014
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Florida 6/1/2009
B
Pennsylvania 6/1/2009
B
Georgia 6/1/2009
B
Rhode Island 2/27/2024
B
Illinois 6/1/2009
B
South Carolina 9/23/2019
B
Indiana 4/3/2024
B
Tennessee 1/11/2010
B
Kansas 7/9/2009
B
Texas 12/2/2011
B
Kentucky 3/19/2014
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Texas 2/20/2020
B
Maryland 6/1/2009
B
Utah 2/27/2024
B
Massachusetts 6/1/2009
B
Vermont 2/27/2024
B
Michigan 4/3/2024
B
Virginia 6/1/2009
B
Minnesota 2/27/2024
B
Washington 2/27/2024
B
Missouri 12/10/2014
B
Wisconsin 6/1/2009
SRO Registrations
B
B
B
B
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Registered with this firm since 6/1/2009
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Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/17/2006 - 06/01/2009 | BOCA RATON, FL | |
B | 07/14/2006 - 06/01/2009 | BOCA RATON, FL | |
IA | 08/25/2000 - 08/01/2006 | FT. LAUDERDALE, FL | |
B | 08/25/2000 - 08/01/2006 | FT. LAUDERDALE, FL | |
B | 10/14/1996 - 08/29/2000 | BOCA RATON, FL |
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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.