Joseph Klein, financial advisor Houston TX
93 score

Joseph Klein

CRD Number: 1931010
Current Firm: Comerica Securities

Joseph Klein (CRD# 1931010) is an Investment Advisor Representative working at Comerica Securities in Houston, TX and has over 29 years of experience in the finance industry.

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Company Name Location Dates Years
Comerica Securities, Inc. Houston, TX May 2017 - Current 1
Usca Securities LLC Houston, TX Jan 2016 - May 2017 1
Lpl Financial LLC Houston, TX Oct 2015 - Jan 2016 < 1
Amegy Bank N.a. Houston, TX Mar 2005 - Jan 2016 10
Amegy Investments, Inc. Houston, TX Mar 2005 - Oct 2015 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1989
S65 NASAA Investment Advisors Law Examination Jun 2012
Contact Info for Joseph C. Klein
Phone Number: 313-222-7324
Firm Website: https://www.comerica.com
Registered State(s):
  • AR
  • TX
By the Numbers
  • Total Assets Under Management
    1,035
    MILLIONS
  • Total Number of Accounts
    2,267
    ACCOUNTS
  • Average Account Value
    $456,553
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • 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)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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