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Howard Alan Klein

Klein Asset Management LLC

Boca Raton, FL

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Current Employers
Klein Asset Management Llc

Boca Raton, FL • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2005-09-22
  • FL RA
    APPROVED
    Since 2005-09-22

Branch Locations

Boca Raton, FL • 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 Asset Management Llc Boca Raton FL 08/2005 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-03-24
S63 Uniform Securities Agent State Law Examination 1992-11-20
  • S65 Uniform Investment Adviser Law Examination
    2004-03-24
  • S63 Uniform Securities Agent State Law Examination
    1992-11-20

View on SEC IAPD

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