Brian Klein
Brian Klein is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Miami, FL, with 25 years of industry experience. Brian is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 1,838,984 clients with $1800B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Managed Account Advisors and Merrill Lynch charge an asset-based fee called the Account Fee, which consists of two parts:
- Investment Management and Trust Fee — Paid to Bank of America for its services, with rates set in your client agreement and subject to negotiation based on your portfolio value and account size.
- Style Manager Expense — Paid to the specific manager of your chosen strategy, generally ranging from 0.00% to 0.50% per year, and does not change based on portfolio size.
Total fees vary depending on the specific strategies and account size, and are deducted directly from your account on a regular basis.
Location
701 Brickell Ave, Miami, FL, 33131
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Regulatory History (1)
Customer Dispute
December 2016Other Business Activities
Brian co-owns a family business with his father since 2021, involving the purchase of a racing horse. He dedicates minimal time to this endeavor.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Bb&t Securities, LLC
Bb&t Securities, LLCBroker
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Morgan Stanley
Morgan StanleyBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Northwestern Mutual Investment Services, LLCBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Citicorp Investment Services
Citicorp Investment ServicesBroker
Signator Investors, INC.Broker
Schonfeld Securities, LLCBroker
Navillus Securities, INC.Broker
State Registrations53 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.
Exams
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