Rafael Klein (CRD# 2865823) is an Investment Advisor Representative working at Spirit Of America Management Corp in E Westport, CT and has over 18 years of experience in the finance industry.
CRD# 2708116
Park Avenue Securities LLC
CRD# 811927
Cetera Investment Advisers LLC
CRD# 2626796
Lincoln Financial Advisors Corporation
| Company Name | Location | Dates | Years |
|---|---|---|---|
| David Lerner Associates, Inc. | Darien, CT | Apr 2005 - Current | 19 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | May 2005 |
| S65 | NASAA Investment Advisors Law Examination | May 2016 |
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CT
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Total Assets Under Management569MILLIONS
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Total Number of Accounts40ACCOUNTS
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Average Account Value$14,216,837
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
CT, FL, NJ, NY
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