Unclaimed Profile

Lettie Hada Pivan

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

Series 7, Series 27, Series 63, Series 66Clean record21 years registeredKLEIN PAVLIS & PEASLEY FINANCIAL, INC.

34232 PACIFIC COAST HIGHWAY, DANA POINT, CA 92629-2821CRD# 2472015Firm CRD# 112414

Profile Verification

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

Identity

Lettie Hada Pivan · DANA POINT, CA

Registration

CRD #2472015 · KLEIN PAVLIS & PEASLEY FINANCIAL, INC. · 21 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 2005 – Oct 2016

DANA POINT, CA

Registrations & Exams

FINRA examinations passed

Series 7

Series 27

Series 63

Series 66

Registration record

First registered · January 10, 2005

Years registered · 21

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

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

Speak with Lettie

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Lettie is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in DANA POINT?

Browse all registered financial advisors in DANA POINT, California or claim this profile if it's yours.

Browse DANA POINT Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Lettie Hada Pivan offer?

Lettie Hada Pivan specializes in Investment Management.

What are Lettie Hada Pivan's credentials?

Lettie Hada Pivan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Lettie Hada Pivan located?

Lettie Hada Pivan is based in DANA POINT, California, last registered with KLEIN PAVLIS & PEASLEY FINANCIAL, INC..

How does Lettie Hada Pivan charge for services?

Lettie Hada Pivan'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.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →