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Brian Paul Klein
BRIAN PAUL KLEIN, Brian Klein
CRD#: 3153347
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 701 BRICKELL AVE
MIAMI, FL 33131
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2008 - 2013 (4 years)2 FIRMS2013 - 2015 (1 year)2 FIRMS2015 - 2018 (2 years)2 FIRMS2018 - 2019 (1 year)2 FIRMS2019 - Present (5 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2008 - 2008 (<1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2003 - 2007 (3 years)BSIGNATOR INVESTORS, INC. (CRD# 468)2002 - 2003 (<1 year)BSCHONFELD SECURITIES, LLC (CRD# 23304)2002 - 2002 (<1 year)BNAVILLUS SECURITIES, INC. (CRD# 31230)2000 - 2001 (1 year)IACITICORP INVESTMENT SERVICES (CRD# 23988)2004 - 2007 (2 years)
Disclosure(s)
View By:
12/13/2016
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 3/27/2019

B
Nebraska 3/27/2019

B
Alaska 3/27/2019

B
Nevada 3/27/2019

B
Arizona 3/27/2019

B
New Hampshire 3/27/2019

B
Arkansas 3/27/2019

B
New Jersey 3/27/2019

B
California 3/27/2019

B
New Mexico 3/27/2019

B
Colorado 3/27/2019

B
New York 3/27/2019

B
Connecticut 3/27/2019

B
North Carolina 3/27/2019

B
Delaware 3/27/2019

B
North Dakota 3/27/2019

B
District of Columbia 3/27/2019

B
Ohio 3/27/2019

B
Florida 3/26/2019

B
Oklahoma 3/27/2019

IA
Florida 3/27/2019

B
Oregon 3/27/2019

B
Georgia 3/27/2019

B
Pennsylvania 3/27/2019

B
Hawaii 3/27/2019

B
Puerto Rico 3/27/2019

B
Idaho 3/27/2019

B
Rhode Island 3/27/2019

B
Illinois 3/27/2019

B
South Carolina 3/27/2019

B
Indiana 3/27/2019

B
South Dakota 3/27/2019

B
Iowa 3/27/2019

B
Tennessee 3/27/2019

B
Kansas 3/27/2019

B
Texas 3/27/2019

B
Kentucky 3/27/2019

IA
Texas 3/27/2019

B
Louisiana 3/27/2019

B
Utah 3/27/2019

B
Maine 3/27/2019

B
Vermont 3/27/2019

B
Maryland 3/27/2019

B
Virgin Islands 3/27/2019

B
Massachusetts 3/27/2019

B
Virginia 3/27/2019

B
Michigan 3/27/2019

B
Washington 3/27/2019

B
Minnesota 3/27/2019

B
West Virginia 3/27/2019

B
Mississippi 3/27/2019

B
Wisconsin 3/27/2019

B
Missouri 3/27/2019

B
Wyoming 3/27/2019

B
Montana 3/27/2019

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 BRICKELL AVE, MIAMI, FL 33131
Registered with this firm since 3/27/2019

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 BRICKELL AVE, MIAMI, FL 33131
Registered with this firm since 3/26/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/14/2018 - 03/04/2019 BB&T SECURITIES, LLC (CRD#:142785) BOCA RATON, FL
B
03/13/2018 - 03/04/2019 BB&T SECURITIES, LLC (CRD#:142785) BOCA RATON, FL
IA
04/21/2015 - 03/12/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BOCA RATON, FL
B
04/17/2015 - 03/12/2018 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) BOCA RATON, FL
IA
07/30/2013 - 04/27/2015 MORGAN STANLEY (CRD#:149777) BOCA RATON, FL
B
07/29/2013 - 04/27/2015 MORGAN STANLEY (CRD#:149777) BOCA RATON, FL
IA
09/24/2008 - 07/25/2013 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MIAMI, FL
B
09/04/2008 - 07/25/2013 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MIAMI, FL
B
01/03/2008 - 08/11/2008 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) FORT LAUDERDALE, FL
IA
05/29/2007 - 12/13/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MIAMI, FL
B
05/29/2007 - 12/13/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) MIAMI, FL
IA
09/20/2004 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) MIAMI, FL
B
09/19/2003 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) MIAMI, FL
B
11/13/2002 - 09/22/2003 SIGNATOR INVESTORS, INC. (CRD#:468) BOSTON, MA
B
01/31/2002 - 09/24/2002 SCHONFELD SECURITIES, LLC (CRD#:23304) JERICHO, NY
B
08/02/2000 - 10/02/2001 NAVILLUS SECURITIES, INC. (CRD#:31230) WEST CONSHOHOCKEN, PA
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Broker
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Investment Adviser
Disclosures
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.