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Jason Robert Topor

Klein Pavlis & Peasley Financial, Inc.

Irvine, CA

CRD 4897470

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Employer firm

Klein Pavlis & Peasley Financial, Inc. CRD 112414

$233M regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Periodicals / newsletters
  • Educational seminars

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

Current Employers
Klein Pavlis & Peasley Financial, Inc.

4 Park Plaza, Ste. 1010, Irvine, CA 92614 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2012-06-29
CA RA APPROVED 2005-02-16
  • TX RA
    APPROVED
    Since 2012-06-29
  • CA RA
    APPROVED
    Since 2005-02-16

Branch Locations

4 Park Plaza, Ste. 1010, Irvine, CA 92614 • 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
Klein Pavlis & Peasley Financial Dana Point CA 02/2005 Present
  • 02/2005 → Present
    Klein Pavlis & Peasley Financial
    Dana Point, CA
Previous Registrations
  • 2005-02-16 → 2010-12-31
    Gerald Klein & Associates
    Dana Point, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-02-02
  • S65 Uniform Investment Adviser Law Examination
    2005-02-02

View on SEC IAPD

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