Joseph Steven Klein

Current Employers

Employment History

• 02/2002 → 03/2025
  Equity Services Inc
  Montpelier, VT
• 03/2025 → Present
  Osaic Wealth
  Rocky Hill, CT

Previous Registrations

• 2002-03-15 → 2025-03-28
  Equity Services, Inc.
  Glastonbury, CT
  East Hartford, CT
  Rocky Hill, CT

Other Businesses

1. INV REL INSURANCE SALES. AGENT. 2/1/02-PRES. 160 HR/MO DURING TRADING. AGENT OR BROKER FOR SEVERAL INSURANCE COMPANIES SELLING LIFE, HEALTH, LTC*JAY KLEIN CFP, CHFC, CLU./CLC INCORPORATED. 2275 SILAS DEANE HWY,ROCKY HILL,CT 06067. SEP 2018. NOT INV REL. EDUCATION SEMINARS. PROVIDE EDUCATIONS SEMINARS THROUGH CLC INCORPORATED. DURING SOME TRADE HRS. 2. BIZ EQUITY POSITION: Financial Advisor NATURE: Business Valuations INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 08/14/2025 ADDRESS: 2275 Silas Deane Highway, Ste 4, Rocky Hill CT 06067-2329, United States DESCRIPTION: Helping Business Owner clients and referrals obtain Business valuations through Biz Equity. 3. KLEIN FINANCIAL GROUP POSITION: Financial Advisor/Planner NATURE: Sole Proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 15 START DATE: 03/28/2025 ADDRESS: 2275 Silas Deane Highway, Ste 4, Rocky Hill CT 06067-2329, United States DESCRIPTION: Analyzing clients needs and making recommendations based on needs for Life Insurance, LTC Ins,, Fixed Annuities, and Disability Insurance. Also represent several companies in analyzing Medicare and Prescription drug options for assisting clients and referrals in choosing which Medicare and Part D Drug plans plans to enroll in. Have many years of experience regarding all of the above.

Exams

• S63 Uniform Securities Agent State Law Examination
  2008-06-27
• S65 Uniform Investment Adviser Law Examination
  1999-11-15

Designations

Other Names

• Jay Klein