Harold Edward Klein

Employer firm

Newedge Advisors CRD 171351

$43.2B regulatory AUM 122 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

• 05/2000 → 11/2017
  National Planning Corporation
  Seal Beach, CA
• 11/2017 → 04/2021
  Lpl Financial Llc
  Seal Beach, CA
• 05/2021 → Present
  Mid Atlantic Capital Corporation
  Pittsburgh, PA
• 07/2021 → 11/2024
  Newedge Advisors Llc
  New Orleans, LA
• 04/2025 → Present
  Newedge Advisors, Llc.
  New Orleans, LA

Previous Registrations

• 2021-07-14 → 2024-11-01
  Newedge Advisors
  New Orleans, LA
  Seal Beach, CA
  Seal Beach, CA
• 2017-11-29 → 2021-05-11
  Lpl Financial Llc
  Bakersfield, CA
  Los Alamitos, CA
• 2000-05-24 → 2017-12-06
  National Planning Corporation
  Seal Beach, CA
  Bakersfield, CA
  Bakersfield, CA
  Boston, MA
  Los Angeles, CA

Other Businesses

1. RENTAL HOUSE~INVESTMENT RELATED~BRIERCREST AVE, LAKEWOOD CA~RENTAL HOUSE~OWNER OF RENTAL HOUSE~JUL 2000~2HRS PER MONTH~0HRS PER MONTH DURING MARKET~OWNER OF A RENTAL HOUSE THAT I MANAGE 2. Mr. Klein conducts advisory services through NewEdge Advisors, LLC, a registered investment advisor, doing business as (DBA) Pacific Pointe Advisors. Mr. Klein is an investment advisor representative and devotes 160 hours per month to this activity during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2006-05-03
• S63 Uniform Securities Agent State Law Examination
  1993-10-25

Other Names

• Hal Klein