Edwin Klein (CRD# 1055513) is an Investment Advisor Representative working at D.a. Davidson & Company in Aberdeen, WA and has over 35 years of experience in the finance industry.
CRD# 1312891
Commonwealth Financial Network
Score
96
CRD# 3023427
Beverly A. Mumper, Cpa, Ps
Score
96
CRD# 4679086
G. A. Repple & Company
Score
93
| Company Name | Location | Dates | Years |
|---|---|---|---|
| D.a. Davidson & Company | Aberdeen, WA | Nov 1997 - Current | 19 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jul 1982 |
| S65 | NASAA Investment Advisors Law Examination | Oct 2004 |
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
- WA
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Total Assets Under Management9,918MILLIONS
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Total Number of Accounts33,323ACCOUNTS
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Average Account Value$297,645
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
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