Individual Firm
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Douglas Lee Klein
CRD#: 7063739
IA
B
EDWARD JONESCRD#: 250 7535 EAST HAMPDEN AVENUE
SUITE 354
DENVER, CO 80231-4838
SUITE 354
DENVER, CO 80231-4838
View By:
4/10/2023
Customer Dispute
Denied
State Registrations
B
Colorado 7/10/2023
B
Texas 7/7/2023
IA
Colorado 7/10/2023
IA
Texas 7/7/2023
B
Florida 10/3/2024
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 7/7/2023
B
Registered with this firm since 7/7/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/10/2021 - 06/26/2023 | ENGLEWOOD, CO | |
B | 08/21/2019 - 06/26/2023 | ENGLEWOOD, CO | |
B | 04/26/2019 - 07/05/2019 | ST. LOUIS, MO |
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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.