Unclaimed Profile

Gerald Howard Klein

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

KLEIN 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.

Brand Profile

Not yet started

Disclosure history

5 disclosures on file · See FINRA BrokerCheck for full record

About

Gerald Howard Klein is a registered financial advisor based in DANA POINT, California, affiliated with KLEIN PAVLIS & PEASLEY FINANCIAL, INC.. This profile is generated from public SEC and FINRA registration data.

Focus Areas

Specialties

Investment Management

Client Types

Individuals

Nonprofits & Foundations

Introduction

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Firm Overview

Firm

KLEIN PAVLIS & PEASLEY FINANCIAL, INC.

AUM

$163M

Regulatory assets under management

Employees

Total firm employees

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

Services

Portfolio management (individuals)

Market timing services

Charitable organization or education services

Background

Compensation

Percentage of AUM

Fixed fees

Other: ONLINE EDUCATIONAL CLASSES

Regulatory

SEC/IARD CRD# 602023

Firm CRD# 112414

View on FINRA BrokerCheck →

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Frequently Asked Questions

What services does Gerald Howard Klein offer?

Gerald Howard Klein specializes in Investment Management. Contact their office in DANA POINT, California for a consultation.

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, working with KLEIN PAVLIS & PEASLEY FINANCIAL, INC.. Their office serves clients in the DANA POINT metropolitan area and surrounding communities.

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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