• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Oren Brett Klein
OREN KLEIN
CRD#: 5713258
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 Miami Beach, FL
Registration History
201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2018 - Present (6 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2017 - Present (7 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2012 - 2015 (2 years)BNEWPORT COAST SECURITIES, INC. (CRD# 16944)2009 - 2012 (2 years)
License(s)

State Registrations

B
Florida 2/27/2017

B
New Jersey 2/7/2017

IA
Florida 2/12/2018

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

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
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Miami Beach, FL
Registered with this firm since 2/12/2018

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
Miami Beach, FL
Registered with this firm since 2/3/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
B
08/23/2012 - 04/21/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) HALLANDALE, FL
B
09/14/2009 - 07/13/2012 NEWPORT COAST SECURITIES, INC. (CRD#:16944)
FINRA expelled the firm on 06/25/2018
WEST PALM BEACH, FL
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
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.