KLEIN PAVLIS & PEASLEY FINANCIAL, INC.
CRD #112414 SEC #801-121974 IRVINE, CA 800-557-5461
SEC Registered
Total AUM
$184.9M
Discretionary
$184.9M
Employees
5
Clients
--
Accounts
735
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 25, 2025
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | NA | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | NA | Control |
| KLEIN, GERALD, HOWARD | I | VICE PRESIDENT | NA | Control |
| KLEIN, GERALD, HOWARD | I | VICE PRESIDENT | NA | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | NA | Control |
| KLEIN, GERALD, HOWARD | I | VICE PRESIDENT | NA | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | NA | Control |
| KLEIN, GERALD, HOWARD | I | VICE PRESIDENT | NA | Control |
| KLEIN, GERALD, HOWARD | I | VICE PRESIDENT | NA | Control |
| KLEIN, GERALD, HOWARD | I | VICE PRESIDENT | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| PIVAN, LETTIE, HADA | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| TOPOR, JASON, ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | E | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | E | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | E | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | E | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | E | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | E | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | E | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | E | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | E | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | E | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | E | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | E | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | E | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | E | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | E | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | E | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | E | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | E | Control |
| KLEIN, EVA, ALMA | I | BOARD MEMBER | D | Control |
| KLEIN, EVA, ALMA | I | BOARD MEMBER | D | Control |
| KLEIN, EVA, ALMA | I | PRESIDENT | D | |
| KLEIN, EVA, ALMA | I | BOARD MEMEBER | D | |
| KLEIN, EVA, ALMA | I | BOARD MEMBER | D | Control |
| KLEIN, EVA, ALMA | I | BOARD MEMBER | D | Control |
| KLEIN, EVA, ALMA | I | BOARD MEMBER | D | Control |
| KLEIN, EVA, ALMA | I | BOARD MEMBER | D | Control |
| KLEIN, EVA, ALMA | I | BOARD MEMBER | D | Control |
| KLEIN, EVA, ALMA | I | BOARD MEMBER | D | Control |
| KLEIN, EVA, ALMA | I | BOARD MEMBER | D | Control |
| KLEIN, EVA, ALMA | I | BOARD MEMEBER | D | |
| KLEIN, EVA, ALMA | I | BOARD MEMEBER | D | |
| KLEIN, EVA, ALMA | I | BOARD MEMEBER | D | |
| PAVLIS, JUDITH, ANN | I | SECRETARY/TREASURER | D | |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | D | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | C | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | C | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | C | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | C | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | C | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | C | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | C | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | C | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | C | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | C | Control |
| KLEIN, GERALD, HOWARD | I | BOARD MEMBER | C | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | C | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | C | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | C | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | C | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | C | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | C | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | C | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | C | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | C | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | C | Control |
| PEASLEY, STEPHAN, GLENN | I | PRESIDENT | C | Control |
| KLEIN, JUSTIN, ALAN | I | INVESTMENT ADVISOR REP | B | |
| KLEIN, JUSTIN, ALAN | I | INVESTMENT ADVISOR REP | B | |
| KLEIN, JUSTIN, ALAN | I | INVESTMENT ADVISOR REP | B | |
| KLEIN, JUSTIN, ALAN | I | INVESTMENT ADVISOR REP | B | |
| KLEIN, JUSTIN, ALAN | I | INVESTMENT ADVISOR REP | B | |
| KLEIN, JUSTIN, ALAN | I | INVESTMENT ADVISOR REP | B | |
| KLEIN, JUSTIN, ALAN | I | INVESTMENT ADVISOR REP | B | |
| KLEIN, JUSTIN, ALAN | I | INVESTMENT ADVISOR REP | B | |
| KLEIN, JUSTIN, ALAN | I | INVESTMENT ADVISOR REP | B | |
| KLEIN, JUSTIN, ALAN | I | INVESTMENT ADVISOR REP | B | |
| KLEIN, JUSTIN, ALAN | I | INVESTMENT ADVISOR REP | B | |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | B | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | B | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | B | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | B | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | B | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | B | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | B | Control |
| KLEIN, JUSTIN, ALAN | I | CEO & SECRETARY/TREASURER | B | Control |
Registrations
Federal
IA
Sep 25, 2025 REGISTERED
Notice Filings (18)
AZ CA CO FL GA IL LA MN NC NJ NV NY PA SC TX UT VA WA
Address
4 PARK PLAZA, STE. 1010IRVINE, CA 92614
United States
Phone: 800-557-5461