Mark Klein, financial advisor Los Angeles CA
73 score

Mark Klein

CRD Number: 1783756
Current Firm: B. Riley Wealth Management

Mark Klein (CRD# 1783756) is an Investment Advisor Representative working at B. Riley Wealth Management in Los Angeles, CA and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
B. Riley & Company, LLC New York, NY Oct 2015 - Current 1
B. Riley Capital Management, LLC New York, NY Mar 2012 - Current 4
The Klein Group, LLC New York, NY Apr 2010 - Current 6
Ladenburg Thalmann & Company Inc. New York, NY Aug 2006 - Mar 2012 5
Ladenburg Thalmann Asset Management Inc. New York, NY Aug 2006 - Mar 2012 5
Capitalink, LLC New York, NY Apr 2010 - Apr 2010 < 1
Ladenburg Thalmann & Company Inc. New York, NY Apr 2005 - Aug 2006 1
Ladenburg Thalmann Financial Services Inc. New York, NY Apr 2005 - Aug 2006 1
Ladenburg Thalmann Asset Management Inc. New York, NY Apr 2005 - Aug 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1988
S65 NASAA Investment Advisors Law Examination Mar 1992
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. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Mark D. Klein
Phone Number: 310-966-1446
Firm Website: http://brileyfin.com
Registered State(s):
  • CA
  • WA
  • FL
  • NJ
By the Numbers
  • Total Assets Under Management
    767
    MILLIONS
  • Total Number of Accounts
    131
    ACCOUNTS
  • Average Account Value
    $5,851,926
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA, CT, FL, MN, NJ, NY, TX, WA

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BADGES
73

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