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William H Klein

Rbc Capital Markets, LLC

Newport Beach, CA

Newport Beach, CA

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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-09-04
TX RA APPROVED 2024-09-04
  • CA RA
    APPROVED
    Since 2024-09-04
  • TX RA
    APPROVED
    Since 2024-09-04

Branch Locations

610 Newport Center Drive Suite 900, Newport Beach, CA 92660-6448 • United States

Newport Beach, CA • 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
Rbc Capital Markets, Llc Newport Beach CA 09/2023 Present
University Of Oregon Eugene OR 07/2018 09/2022
Corona Del Mar Highschool/ Harbor Day School Newport Beach CA 09/2013 06/2018
Rbc Wealth Management Newport Beach CA 06/2019 09/2019
Dallas County Republican Party Remote CA 06/2020 11/2020
New York Life Newport Beach CA 10/2022 05/2023
Unemployed Newport Beach CA 06/2023 09/2023
  • 09/2023 → Present
    Rbc Capital Markets, Llc
    Newport Beach, CA
  • 07/2018 → 09/2022
    University Of Oregon
    Eugene, OR
  • 09/2013 → 06/2018
    Corona Del Mar Highschool/ Harbor Day School
    Newport Beach, CA
  • 06/2019 → 09/2019
    Rbc Wealth Management
    Newport Beach, CA
  • 06/2020 → 11/2020
    Dallas County Republican Party
    Remote, CA
  • 10/2022 → 05/2023
    New York Life
    Newport Beach, CA
  • 06/2023 → 09/2023
    Unemployed
    Newport Beach, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-04-15
  • S66 Uniform Combined State Law Examination
    2024-04-15
Other Names
  • William Klein

View on SEC IAPD

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Michael Schanna
Rebekah A. Beekie
WILLIAM BENJAMIN SHAPIRO
Austin Mascorro
Bruce Lyle
Philip Pluta

Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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