James KleinCRD Number: 5893435
Current Firm: J.p. Morgan Securities LLC
James Klein (CRD# 5893435) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Scotts Valley, CA and has over 5 years of experience in the finance industry.
Altos Investments, Inc.
Opes Advisors, Inc.
Stanford Investment Group, Inc.
|J.p. Morgan Securities, LLC||Santa Cruz, CA||Jul 2014 - Current||2|
|Jp Morgan Chase Bank||Santa Cruz, CA||Jul 2014 - Current||2|
|Jim Klein Consulting||Aptos, CA||Feb 2014 - Jun 2014||< 1|
|Thrivent Financial For Lutherans||Aptos, CA||Dec 2011 - Jan 2014||2|
|Thrivent Investment Management Inc.||Aptos, CA||Mar 2011 - Jan 2014||2|
|Cabrillo College||Aptos, CA||Sep 2011 - Jun 2012||< 1|
|Jim Klein Consulting||Aptos, CA||Sep 2007 - Dec 2011||4|
|Pajaro Valley Unified School Dist.||Watsonville, CA||Sep 2010 - Jun 2011||< 1|
|Fst Technical Services||Aptos, CA||Feb 1993 - Jun 2007||14|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Nov 2011|
Total Assets Under Management70,743MILLIONS
Total Number of Accounts344,720ACCOUNTS
Average Account Value$205,219
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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, VI, VT, WA, WI, WV