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Daniel Joseph Klein

LOCKSHIELD PARTNERS, INC.·GLASGOW, Kentucky
SIE, Series 4, Series 7, Series 63, Series 65Clean record22 years registeredLOCKSHIELD PARTNERS, INC.
301 SOUTH BROADWAY, GLASGOW, KY 42141CRD# 3213917Firm CRD# 175433

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Daniel Joseph Klein · GLASGOW, KY
Registration
CRD #3213917 · LOCKSHIELD PARTNERS, INC. · 22 years registered
Brand Profile
Not yet started
01

Career History

LOCKSHIELD PARTNERS, INC.
May 2015 – present
LPL FINANCIAL LLC
Jul 2011 – May 2015
GLASGOW, KY
UVEST FINANCIAL SERVICES GROUP, INC.
Oct 2003 – Jul 2011
GLASGOW, KY
02

Registrations & Exams

FINRA examinations passed
SIE
Series 4
Series 7
Series 63
Series 65
Registration record
First registered · October 28, 2003
Years registered · 22
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
LOCKSHIELD PARTNERS, INC.
CRD 175433 · SEC 801-116877
AUM
$201M
Regulatory assets under management
Employees
7
968 client accounts
Services offered by LOCKSHIELD PARTNERS, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at LOCKSHIELD PARTNERS, INC. →
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05

Frequently Asked Questions

What services does Daniel Joseph Klein offer?
Daniel Joseph Klein specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in GLASGOW, Kentucky for a consultation.
What are Daniel Joseph Klein's credentials?
Daniel Joseph Klein is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Daniel Joseph Klein located?
Daniel Joseph Klein is based in GLASGOW, Kentucky, working with LOCKSHIELD PARTNERS, INC.. Their office serves clients in the GLASGOW metropolitan area and surrounding communities.
How does Daniel Joseph Klein charge for services?
Daniel Joseph Klein's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is LOCKSHIELD PARTNERS, INC.?
LOCKSHIELD PARTNERS, INC. has approximately 7 employees and manages $201M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at LOCKSHIELD PARTNERS, INC.

Jeremiah Warren Harston
GLASGOW, KY

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Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in Kentucky
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Research
Advisor Fees in KentuckyNational Fee Analysis
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