Kenneth John 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
TX	RA	APPROVED_RES	2022-07-11
DE	RA	APPROVED	2022-05-10

TX RA
APPROVED_RES

Since 2022-07-11
DE RA
APPROVED

Since 2022-05-10

Branch Locations

Newark, DE • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Penn Mutual Life Insurance Co	Horsham	PA	12/2014	05/2022
Extra Mile Tax Prep Service	Newark	DE	01/1999	Present
Hornor Townsend & Kent Inc	Horsham	PA	02/2015	05/2022
Lpl Financial Llc	Newark	DE	05/2022	Present

12/2014 → 05/2022

Penn Mutual Life Insurance Co

Horsham, PA
01/1999 → Present

Extra Mile Tax Prep Service

Newark, DE
02/2015 → 05/2022

Hornor Townsend & Kent Inc

Horsham, PA
05/2022 → Present

Lpl Financial Llc

Newark, DE

Previous Registrations

2016-11-14 → 2022-05-04

Hornor, Townsend & Kent, Llc

Wilmington, DE

Other Businesses

1) 5/2022- EXTRA MILE TAX PREP SERVICE- Tax prep business- inv. related- owner- inv. related- 11 BRISTOL KNOLL RD, NEWARK, DE 19711 | START DATE: 1/2/1999 - 46hrs/mth 2) 5/2022- INSURANCE YOU KEEP- Non-Variable Insurance- Agent selling MEDICARE SUPPLEMENT- inv. related- Newark, DE - start date 7/2017 - 40hrs/mth 3) 5/2022- Rockwell Insurance Agency- Non-Variable Insurance- Agent/Property and Casualty- inv. related- Newark, DE - start date 9/2000 - 1hrs/mth 4) 5/2022- Real Estate Rental- property owner/landlord- inv. related- 310 Refuge Run Camden Wyoming, DE 19934- start date 10/2017- .05hrs/mth

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-08-27
S63	Uniform Securities Agent State Law Examination	2015-02-27

S65 Uniform Investment Adviser Law Examination

2016-08-27
S63 Uniform Securities Agent State Law Examination

2015-02-27

View on SEC IAPD