Edwin Klein, financial advisor Aberdeen WA
83 score

Edwin Klein

CRD Number: 1055513
Current Firm: Kestra Private Wealth Services, LLC

Edwin Klein (CRD# 1055513) is an Investment Advisor Representative working at Kestra Private Wealth Services, LLC in Aberdeen, WA and has over 35 years of experience in the finance industry.

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Company Name Location Dates Years
Kestra Investment Services, LLC Aberdeen, WA Jan 2018 - Current < 1
Kestra Private Wealth Services Aberdeen, WA Jan 2018 - Current < 1
D.a. Davidson & Company Aberdeen, WA Nov 1997 - Jan 2018 20
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1982
S65 NASAA Investment Advisors Law Examination Oct 2004
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Edwin J. Klein
Phone Number: 800-214-8341
Registered State(s):
  • WA
By the Numbers
  • Total Assets Under Management
    1,017
    MILLIONS
  • Total Number of Accounts
    3,689
    ACCOUNTS
  • Average Account Value
    $275,731
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AL, AZ, CA, CO, CT, DC, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MT, NC, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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