Daniel Joseph Klein

Employer firm

Lockshield Partners, Inc. CRD 175433

$291M regulatory AUM 10 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)

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

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

Current Employers

Employment History

• 07/2011 → Present
  Lpl Financial, Llc
  Glasgow, KY
• 04/2015 → Present
  Lockshield Partners, Inc.
  Glasgow, KY

Previous Registrations

• 2011-07-05 → 2015-05-04
  Lpl Financial Llc
  Glasgow, KY
• 2003-10-28 → 2011-07-05
  Uvest Financial Services Group, Inc.
  Glasgow, KY
  Glasgow, KY
  Glasgow, KY
  Park City, KY
  Cave City, KY
  Edmonton, KY
  Glasgow, KY
  Glasgow, KY
  Bowling Green, KY

Other Businesses

1. 07/05/2011 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Time Spent 5% - (OBQ ID # 86668) Owner of rental property. 2. 07/05/2011 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Time Spent 5% - (OBQ ID # 86669) Owner of rental property. 3. 07/05/2011 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Time Spent 5% - (OBQ ID # 86666) Owner of rental property. 4. 07/05/2011 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Time Spent 5% - (OBQ ID # 86698) Owner rental property. 5. 07/05/2011 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Time Spent 5% - (OBQ ID # 86699) Owner rental property. 6. 04/20/2015 - LOCKSHIELD PARTNERS - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 4/9/2015 - 120 Hours During Securities Trading - Time Spent 100%. 7. 6/2/2015 - LOCKSHIELD PARTNERS, INC. - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION (S) - REGISTERED REPRESENTATIVE OF LPL FINANCIAL, LLC, A REGISTERED BROKER DEALER - STARTED 04/09/2015 - TIME SPENT 100% - IAR. 8. 4/5/2016 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Started 03/15/2016 - 3 Hours Per Month/0 Hours During Securities Trading - Purchased 3 new properties to rent. 9. 11/21/2016 - George Hartman LLC - Investment Related - 1712 Hogle, 801 Logan Way, 1606 Kenton BK KY 42101 - Real Estate Rental - Started 06/01/2008 - 4 Hours Per Month/0 Hours During Securities Trading - Owner of rental property. 10. 11/22/2016 - No Business Name - Investment Related - 1714 Hogle Dr. BG KY 42101 - Real Estate Rental - Started 07/01/2013 - 4 Hours Per Month/2 Hours During Securities Trading - Owner of rental property. 11. 11/22/2016 - No Business Name - Investment Related - 610 Park St BG KY 42101 - Real Estate Rental - Started 09/01/2013 - 4 Hours Per Month/0 Hours During Securities Trading - Owner rental property. 12. 11/22/2016 - No Business Name - Investment Related - 1621 Park St BG KY 42103 - Real Estate Rental - Started 11/01/2015 - 4 Hours Per Month/0 Hours During Securities Trading - Owner rental property. 13. 12/2/2016 - "My 3:59" - Investment Related - Home Based - Other-Author - Start 12/16/16 - 10 Hours Per Month/2 Hours During Securities Trading. 14. 6/20/2017 - No Business Name - Investment Related - Bowling Green, KY - Real Estate Rental - Started 05/01/2017 - 3 Hours Per Month/0 Hours During Securities Trading. 15. 6/23/2017 - Hatler & Hartman LLC - Investment Related - Bowling Green, KY - Real Estate Rental - Started 10/20/08 - 2 Hours Per Month/0 Hours During Securities Trading. 16. 01/19/2018 - No Business Name - Not Investment Related - St Bowling Green, KY - Real Estate Rental - My wife and I bought 2 new investment properties - Start Date 12/22/2017 - 3 Hours Per Month / 0 Hours During Trading. 17. 3/21/2018 - No Business Name - Not Investment Related - Bowling Green, KY 42103 - Real Estate Rental - Start Date: 02/01/2018 - 4 Hours Per Month/0 Hours During Securities Trading - Bought 2 rental properties. 18). 10/24/2018 - Gilbert & Gilbert - Investment Related - 501 West Main Street Suite A Glasgow, KY 42141 - Tax Prep/Accounting/CPA - Start Date:01/02/2019 - 5 Hours Per Month/5 Hours During Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-03-11
• S63 Uniform Securities Agent State Law Examination
  1999-04-23

Other Names

• Dan Klein