Gary Alan 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

• 06/2011 → 11/2017
  National Planning Corporation
  San Mateo, CA
• 06/2011 → 02/2017
  Trilogy Financial Services
  San Mateo, CA
• 11/2015 → 01/2018
  Trilogy Capital, Inc.
  Walnut Creek, CA
• 11/2017 → Present
  Lpl Financial Llc
  Hayward, CA

Previous Registrations

• 2015-12-01 → 2018-01-23
  Trilogy Capital, Inc.
  Hayward, CA
  Irvine, CA
• 2013-05-03 → 2017-12-06
  National Planning Corporation
  Walnut Creek, CA
  Hayward, CA
  Los Angeles, CA

Other Businesses

1. 11/29/2017 - TRILOGY FINANCIAL SERVICES INC - Investment Related - At Reported Business Location(s) - Insurance Agency - AGENT - Start Date 5/27/11 - 10 Hours Per Month/10 Hours During Securities Trading - Universal Life, and Term.

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-04-30
• S63 Uniform Securities Agent State Law Examination
  2011-06-25

Other Names

• Gary Klein