Phyllis Ann Klein

Current Employers

Employment History

• 06/1989 → Present
  Klein Insurance Agency
  Stockton, CA
• 01/2014 → Present
  Goodheart & Assoc, Inc
  Stockton, CA
• 10/1994 → Present
  Legal Shield
  Stockton, CA
• 05/2016 → 11/2018
  Signator Investors, Inc.
  Stockton, CA
• 11/2018 → Present
  Osaic Wealth, Inc.
  Stockton, CA
• 12/2024 → Present
  Goodheart Management Services, Inc
  Stockton, CA

Previous Registrations

• 2016-05-13 → 2018-11-02
  Signator Investors, Inc.
  Stockton, CA
  Huntington Beach, CA
• 2015-09-08 → 2016-05-13
  Transamerica Financial Advisors, Llc
  Huntington Beach, CA
  Stockton, CA

Other Businesses

1. CSU POS: Teacher NATURE: College/University INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 06/01/2016 ADDY: 612 E. Magnolia St., Stockton CA 95202, United States DESCRIPTION: I teach a Money Management course to students enrolled in the Wellness Works program offered through CSU Stanislaus campus. 2. TEMPLE ISRAEL OF STOCKTON POS: GIft Shop Clerk NATURE: Religious Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDY: 5105 N. El Dorado St., Stockton CA 95207, United States DESCRIPTION: Ordering and selling merchandise, and tracking inventory for gift shop. 3. GOODHEART & ASSOCIATES INC; DBA RANDOLPH & KLEIN FINANCIAL SOLUTIONS POS: President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 20 START DATE: 01/01/2014 ADDY: 2087 Grand Canal Blvd., Suite 5, Stockton CA 95207, United States DESCRIPTION: Individual & group insurance related products including health, life, disability, fixed annuities, and long term care. Supervise employees, administrative duties, sales,service, and educational workshops. Property manager of office space. 4. KLEIN INSURANCE AGENCY POSITION: Owner/Agent NATURE: Sole Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 06/01/1989 ADDY: 2087 Grand Canal Blvd, Suite 5, Stockton CA 95207, United States DESCRIPTION: Sales and service of health-related insurance products; administrative, supervisory and training. 5. TEMPLE ISRAEL JEWISH COMMUNITY TZEDAKAH FUND POSITION: Board member NATURE: Non-Profit organization raising funds for interest-free loans to the community. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2024 ADDY: 5305 N. El Dorado Ave., Stockton CA 95207, United States DESCRIPTION: 1. Monthly meetings until 2025 then quarterly meetings.2. Determine eligibility for interest-free loans to Jewish community members.3. The committee sends out annual fundraising letters to members of the Temple Israel community.4. Review investment strategies. Account is held at Merrill Lynch. They receive the donations. 6. GOODHEART & ASSOCIATES INC; DBA RANDOLPH & KLEIN FINANCIAL SOLUTIONS POSITION: Registered Social Security Analyst NATURE: Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 10/01/2024 ADDY: 2087 Grand Canal Blvd, Suite 5, Stockton CA 95207, United States DESCRIPTION: I plan to register for this designation as an RSSA within one month. The program provides on-going training, client case support, marketing, software technology, and weekly training.Educate prospects on Social Security Benefits, Medicare, and enrollment assistance. 7. GOODHEART & ASSOCIATES DBS RANDOLPH & KLEIN FINANCIAL SOLUTIONS POSITION: Advisor NATURE: I would be offering a digital option for clients to create a Will or Trust from the company, FastWill. This would be offered as an alternative to referrals to local Estate Planning attorneys. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 03/17/2025 ADDY: 2087 Grand Canal Blvd., Suite 5, Stockton CA 95207, United States DESCRIPTION: Clients would receive a link to complete the documents on their own. I could review these documents after they have been completed. The information would compliment the financial planning I provide. There are options of offering this as a free compliment to clients or at a fee. 8. GOODHEART MANAGEMENT SERVICES, INC POSITION: Secretary NATURE: C-Corporation established as a leasing company providing the employees to Goodheart & Associates, Inc. dba Randolph & Klein Financial Solutions. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 12/27/2024 ADDRESS: 2087 Grand Canal Boulevard, Suite 5, Stockton CA 95207-6651, United States DESCRIPTION: I process the payroll for the leased employees to Goodheart & Associates.

Exams

• S66 Uniform Combined State Law Examination
  2015-09-04
• S63 Uniform Securities Agent State Law Examination
  1992-10-16

Other Names

• Phyllis Ann Klein-Borges
• Phyllis Ann Borges