David KleinCRD 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.
Sequoia Wealth Management, LLC
Hightower Advisors, LLC
Securities America Advisors, Inc.
|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|
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
Total Assets Under Management201,164MILLIONS
Total Number of Accounts395,275ACCOUNTS
Average Account Value$508,922
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- 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
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
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