Martin A Klein

Current Employers

Employment History

• 06/2014 → Present
  Rbc Capital Markets, Llc
  Newport Beach, CA
• 11/2016 → Present
  City National Bank
  Newport Beach, CA

Previous Registrations

• 2007-11-16 → 2014-07-11
  J.P. Morgan Securities Llc
  Newport Beach, CA
• 2007-04-02 → 2007-11-19
  Morgan Stanley & Co. Llc
  Newport Beach, CA
• 2000-05-18 → 2007-04-02
  Morgan Stanley Dw Inc.
  Newport Beach, CA
  Newport Beach, CA

Other Businesses

(1) THE PACIFIC CLUB; ADDRESS: 4110 MACARTHUR BLVD NEWPORT BEACH, CA 92660; BUSINESS DESCRIPTION: PRIVATE CLUB; NOT INVESTMENT RELATED; START DATE: 06/25/2014; CAPACITY: BOARD OF DIRECTORS; DUTIES: REVIEW ISSUES TYPICAL TO PRIVATE CLUBS; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (2 )NAME OF ENTITY: China-US Business Summit; ADDRESS: 17700 Castleton St., Suite 305, City of Industry, CA 91748; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Promote business opportunities between US and China; CAPACITY: Board of Directors; START DATE: 02/08/2021; DUTIES: Advise on promoting the summit to businesses; HOURS DEVOTED PER MONTH: 01hr/month; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: None; (3) NAME OF ENTITY: Lott IMPACT Trophy Board ADDRESS: 4110 MacArthur Blvd. Newport Beach, CA 92660 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Charity--raises money for various children's groups and colleges. CAPACITY: Board of Directors * START DATE: 12/01/2022 DUTIES: Help choose the college player most worthy each year of the Trophy HOURS DEVOTED PER MONTH: ½ hour HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-02-10
• S63 Uniform Securities Agent State Law Examination
  1987-12-30

Other Names

• Martin Adalbert Klein
• Martin Adalbert Klein
• Martin A Klein Iii