Steven Allen Klein

Current Employers

Employment History

• 01/1996 → Present
  Frost Brokerage Services, Inc.
  San Antonio, TX

Previous Registrations

• 2018-03-15 → 2021-12-31
  Frost Investment Services
  San Antonio, TX

Other Businesses

(1) Frost Bank - Frost Wealth Advisors; Investment related; 111 West Houston Street, San Antonio, TX 78205; Fiduciary and Administrative Financial Services; Institutional Custody Services Manager; Started 6/1996; Approx. 120-160hrs/mo; Approx. 120-160hrs/mo; An Institutional Custody Services Manager with Frost is responsible for managing Institutional Custody Services activities statewide including budgeting, personnel management, and instituting procedures to ensure policy compliance and process efficiency. Responsibilities include maintaining a current knowledge of government regulations regarding Institutional Custody Services; working with government agencies when necessary to ensure departmental compliance with Bank policy, laws, and regulations; ensuring that the department has adequate resources and follows proper procedures to administer custody accounts according to the terms of the governing documents, laws, and regulations; developing new business through personal calls, formal presentations and direct mail; assisting with and speaking at seminars for customers, contacts, and prospects; collaborating with Institutional money managers to properly service mutual clients. Ensuring compliance with internal controls.

Exams

• S63 Uniform Securities Agent State Law Examination
  1996-03-04

Other Names

• Steve Klein