Unclaimed Profile

Tibor Klein

KLEIN FINANCIAL CORP.·VALLEY STREAM, New York

Series 4, Series 7, Series 9, Series 10, Series 24, Series 63, Series 6516 years registeredKLEIN FINANCIAL CORP.

27 EAST MERRICK ROAD, VALLEY STREAM, NY 11580CRD# 2682862Firm CRD# 149508

Profile Verification

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

Identity

Tibor Klein · VALLEY STREAM, NY

Registration

CRD #2682862 · KLEIN FINANCIAL CORP. · 16 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: KLEIN FINANCIAL CORP.

KLEIN FINANCIAL SERVICES

Oct 2009 – Oct 2016

MELVILLE, NY

Registrations & Exams

FINRA examinations passed

Series 4

Series 7

Series 9

Series 10

Series 24

Series 63

Series 65

Registration record

First registered · October 27, 2009

Years registered · 16

Disclosure History

2018Regulatory·Final

2016Criminal·Final Disposition

2013Civil·Final

3 disclosure events 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 FINANCIAL CORP.

CRD 149508 · SEC 801-69972

AUM

$3M

Regulatory assets under management

Employees

22 client accounts

Services offered by KLEIN FINANCIAL CORP.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at KLEIN FINANCIAL CORP. →

Introduction

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Frequently Asked Questions

What services does Tibor Klein offer?

Tibor Klein specializes in Financial Planning, Investment Management, Wealth Management.

What are Tibor Klein's credentials?

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

Where is Tibor Klein located?

Tibor Klein is based in VALLEY STREAM, New York, last registered with KLEIN FINANCIAL CORP..

How does Tibor Klein charge for services?

Tibor 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 KLEIN FINANCIAL CORP.?

KLEIN FINANCIAL CORP. has approximately 2 employees and manages $3M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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