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Neil Douglas Klein

Carret Asset Management, LLC

New York, NY

CRD 1940962

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Employer firm

Carret Asset Management, LLC CRD 131445

$3.46B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers
Carret Asset Management, Llc

360 Madison Avenue 20Th Floor, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-12
  • NY RA
    APPROVED
    Since 2021-06-12

Branch Locations

360 Madison Avenue 20Th Floor, New York, NY 10017 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Carret Asset Management New York NY 05/2008 Present
  • 05/2008 → Present
    Carret Asset Management
    New York, NY
Previous Registrations
  • 2005-08-04 → 2008-06-16
    Abner Herrman & Brock, Llc
    Jersey City, NJ
    Jersey City, NJ
  • 1997-02-10 → 2003-04-08
    Cibc World Markets Corp.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-11-12
S63 Uniform Securities Agent State Law Examination 1989-06-22
  • S65 Uniform Investment Adviser Law Examination
    1992-11-12
  • S63 Uniform Securities Agent State Law Examination
    1989-06-22

View on SEC IAPD

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