Individual Firm
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ROBERT PERRY KLEIN
CRD#: 862159
IA
B
MORGAN STANLEYCRD#: 149777 1200 South Pine Island Road
Suite 800
Plantation, FL 33324
Suite 800
Plantation, FL 33324
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11/17/1987
Customer Dispute
Award / Judgment
State Registrations
B
Arizona 7/1/2020
B
New Jersey 7/17/2024
B
Florida 6/1/2009
B
New York 6/1/2009
IA
Florida 6/1/2009
B
South Carolina 1/11/2023
B
Georgia 4/13/2012
B
Texas 4/26/2011
B
Hawaii 6/1/2009
IA
Texas 5/24/2011
B
Maryland 6/7/2022
B
Virginia 6/1/2009
B
Massachusetts 4/5/2022
B
Washington 8/10/2015
B
Missouri 4/13/2012
B
Wisconsin 2/10/2010
B
New Hampshire 5/7/2012
SRO Registrations
B
B
B
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | PLANTATION, FL | |
B | 04/02/2007 - 06/01/2009 | PLANTATION, FL | |
IA | 01/01/1991 - 04/02/2007 | PLANTATION, FL | |
B | 07/07/1987 - 04/02/2007 | PLANTATION, FL | |
B | 02/20/1981 - 07/13/1987 | ||
B | 02/01/1979 - 04/09/1981 |
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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.