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Inactive

Nicholas Steven Klein

Oxford Financial Group, Ltd

Carmel, IN

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Current Employers
Oxford Financial Group, Ltd

11711 North Meridian Street Suite 600, Carmel, IN 46032 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-06-12
IL RA APPROVED 2024-05-16
IN RA APPROVED 2016-09-09
  • FL RA
    APPROVED
    Since 2024-06-12
  • IL RA
    APPROVED
    Since 2024-05-16
  • IN RA
    APPROVED
    Since 2016-09-09

Branch Locations

11711 N. Meridian Street Suite 600, Carmel, IN 46032 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oxford Financial Group, Ltd. Carmel IN 09/2014 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-09-09
S63 Uniform Securities Agent State Law Examination 2007-08-20
  • S65 Uniform Investment Adviser Law Examination
    2016-09-09
  • S63 Uniform Securities Agent State Law Examination
    2007-08-20
Other Names
  • Nick Klein

View on SEC IAPD

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Other Offices

VALIC FINANCIAL ADVISORS, INC. · CARMEL, IN
OPPENHEIMER ASSET MANAGEMENT · CARMEL, IN
ONEAMERICA SECURITIES, INC. · CARMEL, IN
LPL FINANCIAL LLC · CARMEL, IN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Carmel, IN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · CARMEL, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Carmel, IN
WILLIAMSON LEGACY GROUP, LLC · Carmel, IN

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