GERALD KLEIN & ASSOCIATES, INC.
Legal name: GERALD KLEIN & ASSOCIATES
CRD #112491 SEC #801-56109 DANA POINT, CA 800-557-5461
SEC Registered
Total AUM
$3.6M
Discretionary
$3.6M
Employees
5
Clients
--
Accounts
12
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 9, 2007
- Branch Offices
- --
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 | DE | CHIEF FINANCIAL OFFICER | NA | Control |
| KLEIN, GERALD HOWARD | DE | CHIEF FINANCIAL OFFICER | NA | Control |
| KLEIN, GERALD HOWARD | DE | CHIEF FINANCIAL OFFICER | NA | Control |
| KLEIN, GERALD HOWARD | DE | CHIEF FINANCIAL OFFICER | NA | Control |
| KLEIN, GERALD HOWARD | DE | CHIEF FINANCIAL 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 |
| KLEIN, EVA ALMA | DE | PRESIDENT AND SECRETARY | E | |
| KLEIN, EVA ALMA | DE | PRESIDENT AND SECRETARY | E | |
| KLEIN, EVA ALMA | DE | PRESIDENT AND SECRETARY | E | |
| KLEIN, EVA ALMA | DE | PRESIDENT AND SECRETARY | E | |
| KLEIN, EVA ALMA | DE | PRESIDENT AND SECRETARY | E | |
| KLEIN, EVA ALMA | DE | PRESIDENT AND SECRETARY | D | |
| KLEIN, EVA ALMA | DE | PRESIDENT AND SECRETARY | D | |
| KLEIN, EVA ALMA | DE | PRESIDENT AND SECRETARY | D | |
| KLEIN, GERALD HOWARD | DE | CHIEF FINANCIAL OFFICER | D | Control |
| KLEIN, GERALD HOWARD | DE | CHIEF FINANCIAL OFFICER | D | Control |
| KLEIN, GERALD HOWARD | DE | CHIEF FINANCIAL OFFICER | D | Control |
Registrations
Federal
IA
Feb 9, 2007 REGISTERED
Notice Filings (1)
CA
Address
34232 PACIFIC COAST HWY #BDANA POINT, CA 92629
USA
Phone: 800-557-5461