Keith KleinmanCRD Number: 1064497
Current Firm: Janney Montgomery Scott LLC
Keith Kleinman (CRD# 1064497) is an Investment Advisor Representative working at Janney Montgomery Scott LLC in Kingston, PA and has over 35 years of experience in the finance industry.
Northeastern Financial Consultants, Inc.
Ameriprise Financial Services, Inc.
|Janney Montgomery Scott LLC||Philadelphia, PA||Mar 2009 - Current||8|
|Wachovia Securities, LLC||Scranton, PA||Jan 2008 - Mar 2009||1|
|A. G. Edwards & Sons, Inc.||Scranton, PA||Jan 1999 - Jan 2008||9|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1982|
|S65||NASAA Investment Advisors Law Examination||Jul 1998|
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
Total Assets Under Management19,593MILLIONS
Total Number of Accounts60,602ACCOUNTS
Average Account Value$323,312
- 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 businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops