Richard Klein is a registered investment advisor, based in Minneapolis, MN, with 37 years of industry experience.
Location
901 3rd Ave S, Minneapolis, MN, 55402-3367
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
American Enterprise Investment Services INC.Broker
February 2022 - Present · 4 yrs 3 mos
American Enterprise Investment Services INC.
February 2022 - Present · 4 yrs 3 mos
Ameriprise Financial Services, LLC
September 2016 - Present · 9 yrs 8 mos
Ameriprise Financial Services, LLCBroker
August 2016 - Present · 9 yrs 9 mos
Ameriprise Financial Services, LLC
August 2016 - Present · 9 yrs 9 mos
Previous Registrations
Oppenheimerfunds Distributor, INC.Broker
August 1992 - June 2016 · 23 yrs 10 mos
Travelers Equities Sales, INC.Broker
January 1990 - December 1991 · 1 yr 11 mos
Integrated Resources Equity CorporationBroker
May 1987 - July 1989 · 2 yrs 2 mos
Resources Distributors, IncorporatedBroker
March 1987 - July 1987 · 4 mos
State Registrations51 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.