Jonathan Klein

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2022 → 10/2022
  Genesis Global Trading Inc
  Stamford, CT
• 01/2023 → 06/2023
  Unemployed
  Huntington, NY
• 01/2022 → 01/2023
  Grayscale Investments Llc
  Stamford, CT
• 12/2015 → 12/2021
  Stifel Nicolaus And Company Inc
  New York, NY
• 10/2022 → 01/2023
  Grayscale Securities Llc
  Stamford, CT
• 07/2023 → 10/2023
  Northwestern Mutual Life Insurance Company
  Milwaukee, WI
• 08/2023 → 10/2023
  Northwestern Mutual Investment Services Llc
  New York, NY
• 10/2023 → 11/2024
  Pruco Securities, Llc
  Melville, NY
• 10/2023 → Present
  The Prudential Insurance Co. Of America
  Melville, NY
• 11/2024 → Present
  Lpl Enterprise, Llc
  Riverhead, NY

Previous Registrations

• 2023-10-24 → 2024-11-14
  Pruco Securities, Llc.
  Riverhead, NY
  Melville, NY
  Melville, NY
• 2023-08-17 → 2023-10-24
  Northwestern Mutual Investment Services, Llc
  New York, NY
• 2015-12-04 → 2022-01-21
  Stifel, Nicolaus & Company, Incorporated
  New York, NY
  St. Louis, MO
• 2010-09-28 → 2015-12-04
  Barclays Capital Inc.
  New York, NY
  New York, NY
• 2009-06-01 → 2010-10-01
  Morgan Stanley
  New York, NY
• 2005-12-13 → 2009-06-01
  Morgan Stanley & Co. Llc
  New York, NY
  New York, NY

Other Businesses

1) 10/08/2024- Osprey Partners Consulting, Inc- Business Entity For Tax/Investment Purposes Only- Entity used for bills and expenses- Not INV Related- At Riverhead, NY- Start date 07/19/2024- 1 HRS MTH- O HRS During Trading 2) 10/11/2024- 137 W 72nd St- Real Estate Rental- Rental apartment that I sublet- inv. related- at Huntington, NY- start date 02/08/2023- 0hrs/mnth-0hrs during trading 3)03/11/2025- RG Wealth Management Group- DBA for LPL Business (entity for LPL business)- inv. related- at reported business location(s)-start date 10/02/2023- 160hrs/mnth-160hrs during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-06-12
• S63 Uniform Securities Agent State Law Examination
  1995-03-28

Other Names

• Jonathan Darryl Klein
• Jon Klein