Individual Firm
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.
Michael Klein
MICHAEL THOMAS KLEIN, Mike Klein
CRD#: 6197611
IA
B
NEWEDGE ADVISORSCRD#: 171351 12501 Seal Beach Blvd
Suite 280
Seal Beach, CA 90740
Suite 280
Seal Beach, CA 90740
NEWEDGE SECURITIES, LLCCRD#: 10674 12501 Seal Beach Blvd
Suite 280
SEAL BEACH, CA 90740
Suite 280
SEAL BEACH, CA 90740
0
Disclosures
4
Years of Experience
View By:
State Registrations
B
Alabama 7/23/2021
IA
Nebraska 1/29/2024
B
Arizona 7/23/2021
B
Nevada 7/23/2021
B
California 7/23/2021
B
Oregon 7/23/2021
IA
California 7/23/2021
B
Pennsylvania 7/23/2021
B
Colorado 7/23/2021
B
Texas 7/23/2021
B
Florida 7/23/2021
IA
Texas 7/23/2021
B
Georgia 7/23/2021
B
Utah 7/23/2021
B
Idaho 7/23/2021
B
Virginia 7/23/2021
B
Illinois 7/23/2021
B
Washington 7/23/2021
B
Indiana 7/23/2021
B
Wisconsin 7/23/2021
B
Mississippi 7/23/2021
SRO Registrations
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 7/23/2021
B
Registered with this firm since 7/23/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/24/2020 - 08/04/2021 | SEAL BEACH, CA | |
B | 08/26/2020 - 08/04/2021 | SEAL BEACH, CA | |
IA | 09/24/2019 - 11/21/2019 | SANTA MONICA, CA |
SANTA MONICA, CA
09/24/2019 - 11/21/2019
For additional information about investment advisers or broker-dealers, please visit
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.