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.
CRD# 3023427
Beverly A. Mumper, Cpa, Ps
Score
96
CRD# 3229903
Strategic Advisers, Inc.
Score
93
CRD# 2202669
Eagle Strategies LLC
Score
93
| 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 |
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 Management1,017MILLIONS
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Total Number of Accounts3,689ACCOUNTS
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Average Account Value$275,731
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)
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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