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JAMES ALEXANDER KLEIN
James Klein, Jim Klein
CRD#: 7537481
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 2277 FAIR OAKS BLVD STES 150,155
SACRAMENTO, CA 95825-5598
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 2277 FAIR OAKS BLVD STES 150,155
SACRAMENTO, CA 95825
Registration History
JulOct2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct2026IAFIDELITY PERSONAL AND WORKPLAC... (CRD# 288590)2023 - Present (1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2022 - Present (2 years)
License(s)

State Registrations

B
Arizona 1/17/2023

B
Missouri 1/17/2023

B
California 5/6/2022

B
Nevada 5/6/2022

IA
California 10/13/2023

B
New Jersey 1/17/2023

B
Colorado 1/17/2023

B
New York 1/17/2023

B
Connecticut 1/17/2023

B
North Carolina 1/17/2023

B
Florida 1/17/2023

B
Ohio 1/18/2023

B
Georgia 1/17/2023

B
Oregon 7/30/2024

B
Illinois 1/17/2023

B
Pennsylvania 1/17/2023

B
Indiana 1/17/2023

B
Texas 1/17/2023

B
Maryland 1/17/2023

IA
Texas 10/13/2023

B
Massachusetts 1/17/2023

B
Virginia 1/17/2023

B
Michigan 1/17/2023

B
Washington 1/17/2023

B
Minnesota 1/17/2023

B
Wisconsin 1/17/2023

SRO Registrations

B
FINRA

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
2277 FAIR OAKS BLVD STES 150,155, SACRAMENTO, CA 95825-5598
Registered with this firm since 10/13/2023

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
2277 FAIR OAKS BLVD STES 150,155, SACRAMENTO, CA 95825
DAVIS, CA
Registered with this firm since 5/6/2022

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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.