Unclaimed Profile

Nicholas Steven Klein

OXFORD FINANCIAL GROUP, LTD. LLC·CARMEL, Indiana

Series 7, Series 63, Series 65Clean record9 years registeredOXFORD FINANCIAL GROUP, LTD. LLC

11711 NORTH MERIDIAN STREET, CARMEL, IN 46032CRD# 5369448Firm CRD# 105303

Profile Verification

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

Identity

Nicholas Steven Klein · CARMEL, IN

Registration

CRD #5369448 · OXFORD FINANCIAL GROUP, LTD. LLC · 9 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: OXFORD FINANCIAL GROUP, LTD. LLC

OXFORD FINANCIAL GROUP, LTD

Sep 2016 – Jun 2026

Carmel, IN

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Series 65

Registration record

First registered · September 9, 2016

Years registered · 9

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

OXFORD FINANCIAL GROUP, LTD. LLC

CRD 105303 · SEC 801-20692

AUM

$18.2B

Regulatory assets under management

Employees

150

6,270 client accounts

Services offered by OXFORD FINANCIAL GROUP, LTD. LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at OXFORD FINANCIAL GROUP, LTD. LLC →

Introduction

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Frequently Asked Questions

What services does Nicholas Steven Klein offer?

Nicholas Steven Klein specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management.

What are Nicholas Steven Klein's credentials?

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

Where is Nicholas Steven Klein located?

Nicholas Steven Klein is based in CARMEL, Indiana, last registered with OXFORD FINANCIAL GROUP, LTD. LLC.

How does Nicholas Steven Klein charge for services?

Nicholas Steven Klein's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is OXFORD FINANCIAL GROUP, LTD. LLC?

OXFORD FINANCIAL GROUP, LTD. LLC has approximately 150 employees and manages $18.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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