Rafael Scott Klein

Spirit of America Management CORP

28 Years of Experience

7 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment Management

Spirit of America Management CORP

Compensation

Fee-Only (AUM)

Firm Size

14 advisors

Number of Clients

43 clients

Average Client Portfolio

$13.6M average

Assets Under Management

$584.8M

Fee Structure

Minimum Investment:$25K

Financial Planning:Investment management only

Location

1221 Post Road East, E Westport, CT, 06880

Get directions

History

Regulatory History (7)

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 2025

Pending

Customer Dispute

May 2021

Settled

Customer Dispute

November 2020

Settled

Customer Dispute

August 2020

Settled

Customer Dispute

December 2016

Settled

Customer Dispute

November 2011

Closed-No Action

Criminal

October 1995

Final Disposition

View Full SEC Report How to Read Disclosures

Other Business Activities

Rafael is an Investment Advisory Representative and an agent at Spirit of America Management Corporation, an affiliated company.

Employment History

Current Registrations

Spirit of America Management CORP

March 2018 - Present · 7 yrs 11 mos

David Lerner Associates, INC.Broker

April 2005 - Present · 20 yrs 10 mos

Previous Registrations

Farina & Associates, INC.Broker

September 2001 - October 2004 · 3 yrs 1 mo

Investec Ernst & CompanyBroker

December 2000 - September 2001 · 9 mos

Gkn Securities CORP.Broker

February 1999 - December 2000 · 1 yr 10 mos

Hd Brous & CO., INC.Broker

October 1998 - January 1999 · 3 mos

Gkn Securities CORP.Broker

April 1997 - August 1998 · 1 yr 4 mos

State Registrations24 states

AZCACOCTFLGAIDILINLAMDMINCNJNVNYOHORPARISCTXVAVT

AdvisorBrokerBoth

Exams

No exam information available for this advisor.