Eric J Klein

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2018-02-14
NM	RA	APPROVED	2018-02-14
OR	RA	APPROVED	2018-02-14
WA	RA	APPROVED	2018-02-14

CA RA
APPROVED

Since 2018-02-14
NM RA
APPROVED

Since 2018-02-14
OR RA
APPROVED

Since 2018-02-14
WA RA
APPROVED

Since 2018-02-14

Branch Locations

1915 Ne Stucki Ave. Suite 400, Office 445, Hillsboro, OR 97006 • 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

Organization	City	State	From	To
Sii Investments, Inc.	Portland	OR	03/2009	02/2018
Lpl Financial Llc	Beaverton	OR	02/2018	Present

03/2009 → 02/2018

Sii Investments, Inc.

Portland, OR
02/2018 → Present

Lpl Financial Llc

Beaverton, OR

Previous Registrations

2009-03-20 → 2018-02-14

Sii Investments, Inc.

Portland, OR

Beaverton, OR
2003-07-25 → 2005-08-29

Morgan Stanley Dw Inc.

Lake Oswego, OR

Other Businesses

1. 02/14/2018 - SILICON FOREST FINANCIAL LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 02/14/2018 - No Business Name - Not Investment Related - Warrenton, OR 97146 - Real Estate Rental - Property Manager.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-10-19

S66 Uniform Combined State Law Examination

2001-10-19

Other Names

Eric J Klein

View on SEC IAPD