Daniel Louis Klein

CRD 1241800 · Morgan Stanley · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Daniel Klein

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63SIESeries 31Series 15Series 5Series 7
Registered states (37): Arizona · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 42
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1241800 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (9)

From the source registration record · current first

Morgan StanleyCurrent
Los Angeles, CA · IA capacity

Jun 1, 2009 → present
Citigroup Global Markets Inc.
BD capacity

Jun 11, 2003 → Jun 1, 2009
Citigroup Global Markets Inc.
IA capacity

Jun 11, 2003 → Jun 1, 2009
Fahnestock & Co. Inc.
BD capacity

Jan 3, 2003 → Jun 13, 2003
Fahnestock Asset Management
IA capacity

Jan 3, 2003 → Jun 13, 2003
Cibc World Markets Corp.
IA capacity

Nov 10, 1997 → Jan 3, 2003
Cibc World Markets Corp.
BD capacity

Nov 28, 1989 → Jan 3, 2003
Sutro & Co. Incorporated
BD capacity

Jan 19, 1987 → Dec 15, 1989
Drexel Burnham Lambert Incorporated
BD capacity

Apr 18, 1984 → Feb 20, 1987

Source & corrections

Where this page comes from

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