TrueAdvisor
TrueAdvisor
KK
KK

Keith Kleinman

Janney Montgomery Scott LLC
42 Years of Experience
Moosic, PA
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Keith Kleinman is a registered investment advisor at Janney Montgomery Scott LLC, based in Moosic, PA, with 42 years of industry experience. Keith is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 243,808 clients with $110B in assets under management.

Janney Montgomery Scott LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1336 advisors
Number of Clients
243,808 clients
Average Client Portfolio
$452K average
Assets Under Management
$110.1B

Fee Structure

Minimum Investment:$5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $500K2.00%
$500K - $1.0M2.00%
$1.0M - $2.0M2.00%
$2.0M - $5.0M2.00%
$5.0M - $10.0M2.00%
$10.0M - $25.0M2.00%
$25M+2.00%

Fees represent maximum financial advisor fees; additional third-party manager sub-advisory fees may apply depending on the program. All fees are negotiable.

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

Location

72 Glenmaura National Blvd, Suite 103, Moosic, PA, 18507

Get directions

History

Regulatory History (2)
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.
Customer Dispute
October 1993
Settled
Customer Dispute
June 1992
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Janney Montgomery Scott LLC
April 2009 - Present · 17 yrs 6 mos
Janney Montgomery Scott LLCBroker
March 2009 - Present · 17 yrs 7 mos
Previous Registrations
Wachovia Securities, LLCBroker
January 2008 - March 2009 · 1 yr 2 mos
A. G. Edwards & Sons, INC.Broker
February 1999 - January 2008 · 8 yrs 11 mos
Prudential Securities IncorporatedBroker
July 1998 - January 1999 · 6 mos
First Security Investments, INC.Broker
October 1996 - June 1998 · 1 yr 8 mos
First Montauk Securities CORP.Broker
November 1991 - December 1994 · 3 yrs 1 mo
Legg Mason Wood Walker, IncorporatedBroker
June 1990 - November 1991 · 1 yr 5 mos
Saf Investment Services, INC.Broker
May 1989 - June 1990 · 1 yr 1 mo
Josephthal & CO., IncorporatedBroker
February 1989 - June 1989 · 4 mos
Shearson Lehman Hutton INC.Broker
April 1988 - March 1989 · 11 mos
E. F. Hutton & Company INCBroker
October 1986 - April 1988 · 1 yr 6 mos
Prudential-Bache Securities INC.Broker
October 1982 - October 1986 · 4 yrs
State Registrations19 states
ALARCACOCTDCDEFLKSMDNCNJNYOHPARITXVAVT
AdvisorBrokerBoth

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.
More Advisors
More financial advisors in Moosic, PA →All financial advisors in Pennsylvania →