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Laurie Laverne Klein

KAIZEN FINANCIAL ADVISORS, LLC·KIRKLAND, Washington
Series 7, Series 66Clean record24 years registeredKAIZEN FINANCIAL ADVISORS, LLC
4030 LAKE WASHINGTON BLVD, KIRKLAND, WA 98033CRD# 4478848Firm CRD# 155353

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Laurie Laverne Klein · KIRKLAND, WA
Registration
CRD #4478848 · KAIZEN FINANCIAL ADVISORS, LLC · 24 years registered
Brand Profile
Not yet started
01

Career History

KAIZEN FINANCIAL ADVISORS, LLC
Oct 2010 – present
AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
Jan 2002 – May 2005
BELLEVUE, WA
02

Registrations & Exams

FINRA examinations passed
Series 7
Series 66
Registration record
First registered · January 4, 2002
Years registered · 24
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
KAIZEN FINANCIAL ADVISORS, LLC
CRD 155353 · SEC 801-115111
AUM
$221M
Regulatory assets under management
Employees
3
145 client accounts
Services offered by KAIZEN FINANCIAL ADVISORS, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at KAIZEN FINANCIAL ADVISORS, LLC →
Introduction

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05

Frequently Asked Questions

What services does Laurie Laverne Klein offer?
Laurie Laverne Klein specializes in Financial Planning, Investment Management. Contact their office in KIRKLAND, Washington for a consultation.
What are Laurie Laverne Klein's credentials?
Laurie Laverne Klein is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Laurie Laverne Klein located?
Laurie Laverne Klein is based in KIRKLAND, Washington, working with KAIZEN FINANCIAL ADVISORS, LLC. Their office serves clients in the KIRKLAND metropolitan area and surrounding communities.
How does Laurie Laverne Klein charge for services?
Laurie Laverne Klein's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is KAIZEN FINANCIAL ADVISORS, LLC?
KAIZEN FINANCIAL ADVISORS, LLC has approximately 3 employees and manages $221M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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