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One Bryant Park, New York, NY 10036 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2019-03-27 |
| TX | RA | APPROVED | 2019-03-27 |
Branch Locations
701 Brickell Ave, Miami, FL 33131 • United States
6950 Tpc Dr, Mckinney, TX 75070 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors, Llc | Boca Raton | FL | 04/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Boca Raton | FL | 11/2016 | 03/2018 |
| Bb&T Securities | Boca Raton | FL | 03/2018 | 03/2019 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Miami | FL | 03/2019 | Present |
I*136640 For profit or not for profit: For-Profit Organization Name of outside business organization: Brian Klein Investment related: N Address of business: Parkland, Florida 33067 Nature of business: Family Business, Position, title, association: Owner, Start date of relationship: 3/10/2021 Number of hours devoted: 4 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: contribution in joint effort with my father to purchase a local racing horse.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-21 |
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