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Franklin Klein

J.P. Morgan Securities LLC
17 Years of Experience
Los Gatos, CA
1 DisclosureBroker
View SEC Summary
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Franklin Klein is a registered investment advisor at J.P. Morgan Securities LLC, based in Los Gatos, CA, with 17 years of industry experience. Franklin is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.

J.P. Morgan Securities LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K0.60%
$250K+0.50%

Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.

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

Location

400 N Santa Cruz Avenue, Los Gatos, CA, 95030

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History

Regulatory History (1)
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Criminal
November 1992
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
J.P. Morgan Securities LLCBroker
June 2024 - Present · 2 yrs 4 mos
J.P. Morgan Securities LLC
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
Charles Schwab & CO., INC.Broker
January 2022 - January 2024 · 2 yrs
Charles Schwab & CO., INC.
January 2022 - January 2024 · 2 yrs
TD Ameritrade, INC.Broker
July 2010 - December 2023 · 13 yrs 5 mos
TD Ameritrade Investment Management, LLC
July 2010 - September 2023 · 13 yrs 2 mos
TD Ameritrade, INC.
July 2010 - October 2022 · 12 yrs 3 mos
RBC Capital Markets Corporation
December 2008 - January 2010 · 1 yr 1 mo
RBC Capital Markets CorporationBroker
October 2008 - January 2010 · 1 yr 3 mos
State Registrations9 states
CACOIDILNCNVNYORTX
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.
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