KLEIN FINANCIAL ADVISORS, INC.
CRD #128910 SEC #801-121060 NEWPORT BEACH, CA 949-477-4990
SEC Registered
Total AUM
$121M
Discretionary
$119M
Employees
2
Clients
101
Accounts
286
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2021
- Branch Offices
- 1
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, LAUREN, S | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| LAUREN SACHS KLEIN, TRUSTEE KLEIN FAMILY TRUST DATED AUGUST 18, 2016 | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| KLEIN, LAUREN, S | I | LAUREN SACHS KLEIN, TRUSTEE KLEIN FAMILY TRUST DATED AUGUST 18, 2016 | F | Control |
Registrations
Federal
IA
Mar 31, 2021 REGISTERED
Notice Filings (2)
CA TX
Address
4299 MACARTHUR BOULEVARDSUITE 100
NEWPORT BEACH, CA 92660
United States
Phone: 949-477-4990