Martin Klein
Martin Klein is a registered investment advisor at RBC Capital Markets, LLC, based in Newport Beach, CA, with 38 years of industry experience. Martin operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
610 Newport Center Drive, Suite 900, Newport Beach, CA, 92660-6448
Get directionsHistory
Regulatory History (4)
Customer Dispute
October 2022Customer Dispute
November 2011Customer Dispute
March 2011Customer Dispute
September 2001Other Business Activities
Martin serves on the board of directors for The Pacific Club, China-US Business Summit, and Pacific Club Lott Impact Trophy Board, all non-investment related activities. He dedicates minimal time to each of these roles.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Morgan Stanley & CO., IncorporatedBroker
Morgan Stanley & CO., Incorporated
Morgan Stanley
Morgan Stanley Dw INC.Broker
Prudential Securities IncorporatedBroker
State Registrations40 states
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.