William KleinCRD Number: 1061549
Current Firm: Infinex Investments, Inc.
William Klein (CRD# 1061549) is an Investment Advisor Representative working at Infinex Investments, Inc. in Nashua, NH and has over 30 years of experience in the finance industry.
Prosperity Wealth Management, Inc.
Advanced Portfolio Design, LLC
|Mill River Wealth Management||Nashua, NH||Jun 2016 - Current||1|
|Infinex Investments, Inc.||Meriden, CT||Jun 2016 - Current||1|
|Cco Investment Services Corp||Concord, MA||May 2008 - Jun 2016||8|
|Ifmg Securities||Westford, MA||Jan 2001 - May 2008||7|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1987|
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 Management850MILLIONS
Total Number of Accounts4,472ACCOUNTS
Average Account Value$190,032
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, TN, TX, UT, VA, VI, VT, WA, WI, WV