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Harold Klein

Newedge Advisors
44 Years of Experience
Seal Beach, CA
3 Disclosures
View SEC Summary
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Harold Klein is a registered investment advisor at Newedge Advisors, based in Seal Beach, CA, with 44 years of industry experience. Harold operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Charitable Giving, Corporate Executives, and 9 more. Their firm serves 49,898 clients with $43B in assets under management.

Newedge Advisors
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
605 advisors
Number of Clients
49,898 clients
Average Client Portfolio
$866K average
Assets Under Management
$43.2B

Fee Structure

Minimum Investment:$10K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M2.25%
$1.0M - $2.0M2.00%
$2M+1.75%

Schedule reflects the primary Equity and Balanced Advisors Choice program. The firm imposes a maximum annual fee of 1.75% for new accounts opened after December 31, 2025, though older accounts may have rates up to 2.50%. Additional program schedules exist for fixed income, mutual fund strategies, and third-party manager programs. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

12501 Seal Beach Boulevard, Seal Beach, CA, 90740

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
November 2024
Regulatory
October 2024
Final
Employment Separation After Allegations
April 2021
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Newedge Advisors
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Newedge Advisors
July 2021 - November 2024 · 3 yrs 4 mos
Newedge Securities LLCBroker
May 2021 - November 2024 · 3 yrs 6 mos
LPL Financial LLCBroker
November 2017 - May 2021 · 3 yrs 6 mos
LPL Financial LLC
November 2017 - May 2021 · 3 yrs 6 mos
National Planning Corporation ("npc of America" in Fl & Ny)
May 2000 - December 2017 · 17 yrs 7 mos
National Planning CorporationBroker
May 2000 - November 2017 · 17 yrs 6 mos
Associated Securities CORP.Broker
December 1986 - May 2000 · 13 yrs 5 mos
Wellington Securities, INC.Broker
April 1986 - December 1986 · 8 mos
Bretcourt Securities CorporationBroker
March 1983 - March 1986 · 3 yrs
Wzw Financial Services, INC.Broker
December 1981 - December 1983 · 2 yrs
State Registrations1 state
CA
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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