Unclaimed Profile

Gerald Howard Klein

KLEIN PAVLIS & PEASLEY FINANCIAL, INC.·DANA POINT, California

Series 1, Series 5, Series 24, Series 6332 years registeredKLEIN PAVLIS & PEASLEY FINANCIAL, INC.

34232 PACIFIC COAST HIGHWAY, DANA POINT, CA 92629-2821CRD# 602023Firm CRD# 112414

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Gerald Howard Klein · DANA POINT, CA

Registration

CRD #602023 · KLEIN PAVLIS & PEASLEY FINANCIAL, INC. · 32 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: KLEIN PAVLIS & PEASLEY FINANCIAL, INC.

GERALD KLEIN & ASSOCIATES

Jan 2005 – Dec 2010

DANA POINT, CA

KLEIN PAVLIS & PEASLEY FINANCIAL, INC.

Jan 1994 – Mar 2018

DANA POINT, CA

Registrations & Exams

FINRA examinations passed

Series 1

Series 5

Series 24

Series 63

Registration record

First registered · January 28, 1994

Years registered · 32

Disclosure History

1987Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, limited to the records FINRA BrokerCheck displays, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

KLEIN PAVLIS & PEASLEY FINANCIAL, INC.

CRD 112414 · SEC 801-121974

AUM

$163M

Regulatory assets under management

Employees

720 client accounts

Services offered by KLEIN PAVLIS & PEASLEY FINANCIAL, INC.

Per Form ADV

Portfolio management (individuals)

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

Nonprofits & Foundations

View all advisors at KLEIN PAVLIS & PEASLEY FINANCIAL, INC. →

Introduction

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Frequently Asked Questions

What services does Gerald Howard Klein offer?

Gerald Howard Klein specializes in Investment Management.

What are Gerald Howard Klein's credentials?

Gerald Howard Klein is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Gerald Howard Klein located?

Gerald Howard Klein is based in DANA POINT, California, last registered with KLEIN PAVLIS & PEASLEY FINANCIAL, INC..

How does Gerald Howard Klein charge for services?

Gerald Howard Klein's firm is compensated through percentage of aum, fixed fees, other: online educational classes. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is KLEIN PAVLIS & PEASLEY FINANCIAL, INC.?

KLEIN PAVLIS & PEASLEY FINANCIAL, INC. has approximately 4 employees and manages $163M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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