James Robert Klein

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 06/1995 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Beverly Hills, CA
• 06/2009 → Present
  Morgan Stanley Smith Barney
  Los Angeles, CA
• 01/2015 → Present
  Morgan Stanley Private Bank, National Association
  New York, NY

Previous Registrations

• 2008-05-28 → 2009-06-01
  Citigroup Global Markets Inc.
  Los Angeles, CA
• 1997-07-08 → 2008-05-30
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA
  Los Angeles, CA

Other Businesses

*481764- Trust; Investment related -Yes; Los Angeles, California; Trust; Successor Role; 01/2032; During business hours: 1; After business hours: 3; *534124 - MBP Associates; Investment related No; Washington DC, District of Columbia; Real Estate; Manager (proprietor, partner, officer, director, employee, trustee, agent); 12/2022 ; During business hours: 3; After business hours: 0; Investment Decisions/Advice. *560481 - PBJ Enterprises LLC; Investment related: Yes; Wilmington, Delaware; Real Estate; Manager (proprietor, partner, officer, director, employee, trustee, agent); 07/2023; During business hours: 1; After business hours: 0; Investment Decisions/Advice *601063 - 808 Aloha LLC; Investment related: Yes; Washington DC, District of Columbia; Investment/Finance/Banking; Officer(proprietor, partner, officer, director, employee, trustee, agent); 07/2024; During business hours: 1; After business hours: 0; Investment Decisions/Advice *657960 - KB-5046 LLC; Investment related: No; Manhattan Beach, California; Investments; Administrative, Investor, Manager (proprietor, partner, officer, director, employee, trustee, agent); 09/2025; During business hours: 1; After business hours: 0; Administrative, Investment Decisions/Advice

Exams

• S63 Uniform Securities Agent State Law Examination
  1996-02-09
• S65 Uniform Investment Adviser Law Examination
  1996-02-06