David Klein, financial advisor Buffalo Grove IL

David Klein

CRD Number: 703606
Current Firm: Rbc Capital Markets, LLC

David Klein (CRD# 703606) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Buffalo Grove, IL and has over 42 years of experience in the finance industry.

Similar Advisors
Charles Melka, financial advisor Buffalo Grove IL
Charles P. Melka
CRD# 2216510
Sequoia Wealth Management, LLC
Similar Advisors
Alexander Bass, financial advisor Buffalo Grove IL
Alexander Bass
CRD# 4846117
Hightower Advisors, LLC
Similar Advisors
Gregory Aagaard, financial advisor Buffalo Grove IL
Gregory S. Aagaard
CRD# 4993109
Securities America Advisors, Inc.
Company Name Location Dates Years
City National Bank Buffalo Grove, IL Mar 2020 - Current 2
Rbc Capital Markets Corporation Vernon Hills, IL Mar 2008 - Current 14
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1980
S65 NASAA Investment Advisors Law Examination Apr 1994
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.

Get Details on the FINRA Advisor Check site
Contact Info for David J. Klein
Phone Number: 212-858-7000
Registered State(s):
  • IL
  • IN
  • TX
By the Numbers
  • Total Assets Under Management
    201,164
    MILLIONS
  • Total Number of Accounts
    395,275
    ACCOUNTS
  • Average Account Value
    $508,922
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

Ready to hire a financial advisor? Get competitive proposals from David Klein and other advisors.
BADGES

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.