Michael H Klein

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 07/1980 → 11/2018
  Signator Investors, Inc.
  Boston, MA
• 11/2018 → Present
  Royal Alliance Associates, Inc.
  Melville, NY

Other Businesses

1. INSURANCE BROKER - MICHAEL H. KLEIN POSITION: Insurance Broker NATURE: Solr Proprietorship INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/20/2008 ADDRESS: 575 Broadhollow Road, Melville NY 11747, United States DESCRIPTION: Sales and service of fixed insurance 2. LIGHTHOUSE FINANCIAL NETWORK, LLC POSITION: Investment Advisor Representative NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 150 START DATE: 04/01/2008 ADDRESS: 575 BROADHOLLOW RD, LIGHTHOUSE FINANCIAL NETWORK, LLC, MELVILLE NY 11747-5009, United States DESCRIPTION: Investment Advisor Representative operating under Lighthouse Financial Network, LLC, an independent firm ofOsaic Wealth Inc.

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-07-11
• S63 Uniform Securities Agent State Law Examination
  1980-11-13

Other Names

• Mike Klein