Todd M 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2007 → Present
  A2Z Business And Tax Service
  Rapid City, SD
• 07/2015 → 09/2023
  Sagepoint Financial
  Phoenix, AZ
• 09/2023 → 09/2023
  Osaic Wealth, Inc.
  Rapid City, SD
• 09/2023 → Present
  Lpl Financial Llc
  Rapid City, SD

Previous Registrations

• 2023-09-01 → 2023-09-18
  Osaic Wealth, Inc.
  Rapid City, SD
• 2017-07-31 → 2023-09-01
  Osaic Services, Inc.
  Rapid City, SD
  Rapid City, SD
  Rapid City, SD

Other Businesses

1) 08/30/2023 - Public Notary - Investment related - Rapid City, SD - Start date: 6/27/2007- 0hrs 2) 08/30/2023 - A2Z BUSINESS & TAX SERVICE - Tax Prep/Accounting/CPA - - Investment related - Rapid City, SD - Start date: 6/1/2007- 80hrs/mth 3) 08/30/2023 - KLEIN & PUTNAM LLC - Business Entity For Tax/Investment Purposes Only - -Non investment related - Rapid City, SD - Start date: 6/01/2001 - 80hrs/mth 4) 08/30/2023 - RPTK LLC - Real Estate Rental - Non investment related - Rapid City, SD -Start date: 6/1/2007- 0hrs

Exams

• S63 Uniform Securities Agent State Law Examination
  2003-02-01

Designations

• Certified Financial Planner