Karl Klein

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03

NY RA
APPROVED

Since 2021-08-03

Branch Locations

Glens Falls, NY • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Linsco/Private Ledger Corp.	Glens Falls	NY	01/1995	Present

01/1995 → Present

Linsco/Private Ledger Corp.

Glens Falls, NY

Other Businesses

1. 05/13/2003 - TAX PREPARATION / SELF EMPLOYED TAX PREPARATION 2. 04/07/2004 - DBA ONLY / KARL KLEIN CHARTERED FINANCIAL CONSULTANT

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1983-11-10

S63 Uniform Securities Agent State Law Examination

1983-11-10

View on SEC IAPD