Neil Klein

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (investment companies)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

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

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

Current Employers

Employment History

• 04/2006 → 06/2025
  Ubs Financial Services Inc.
  White Plains, NY
• 06/2025 → Present
  Morgan Stanley Smith Barney Llc
  Purchase, NY
• 08/2025 → Present
  Morgan Stanley Private Bank, N.A.
  New York, NY

Previous Registrations

• 2006-04-28 → 2025-07-28
  Ubs Financial Services Inc.
  Purchase, NY
  West Palm Beach, FL
  Stamford, CT
  Sleepy Hollow, NY
• 2002-03-11 → 2006-04-28
  Wells Fargo Clearing Services, Llc
  White Plains, NY

Other Businesses

(1) 672415 - Holding On Productions Limited Liability Company; Not Investment Related; Sleepy Hollow, NY; Art/Culture; Partner; Start 18-January-2012; During business hours: 0; After business hours: 4; Check Signing/Funds Disbursements, Fundraising.

Exams

• S65 Uniform Investment Adviser Law Examination
  2022-04-18
• S63 Uniform Securities Agent State Law Examination
  1987-08-04

Other Names

• Neil Kevin Klein