Joseph C Klein

CRD 1931010 · Edward Jones · Spring, TX

IA RegisteredBroker

Also appears in the source record as: Joseph Klein; Joe Klein; Joseph Charles Klein

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63Series 99TOSIESeries 7
Registered states (2): Arizona · Texas
Years in the industry (source record): 37
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Edward Jones
Firm CRD: 250
SEC number: 801-3297
Assets under management: $1.0T as of Jun 29, 2026
Website: www.twitter.com/EDWARDJONES ↗
Phone: 314-515-2000
Firm location: St. Louis, MO, 63131

Employment history (24)

From the source registration record · current first

Edward JonesCurrent
Spring, TX · IA capacity

Oct 10, 2025 → present
Edward JonesCurrent
Spring, TX · BC capacity

start not retrieved → present
Trb Wealth Management, LLC
IA capacity

Jul 31, 2025 → Sep 22, 2025
Valic Financial Advisors, Inc.
BD capacity

Feb 28, 2025 → May 14, 2025
Valic Financial Advisors, Inc.
IA capacity

Feb 28, 2025 → May 14, 2025
Lpl Financial LLC
BD capacity

Apr 26, 2024 → Jan 17, 2025
Lpl Financial LLC
IA capacity

Apr 26, 2024 → Jan 17, 2025
Charles Schwab & Co., Inc.
BD capacity

Nov 19, 2021 → Mar 6, 2024
Charles Schwab & Co., Inc.
IA capacity

Nov 19, 2021 → Mar 6, 2024
Next Financial Group, Inc.
BD capacity

Mar 19, 2021 → Oct 13, 2021
Next Financial Group, Inc.
IA capacity

Mar 19, 2021 → Oct 13, 2021
Mml Investors Services, LLC
IA capacity

Oct 8, 2019 → Dec 31, 2020
Mml Investors Services, LLC
BD capacity

Sep 20, 2019 → Dec 31, 2020
Comerica Securities
BD capacity

May 4, 2017 → Sep 27, 2019
Comerica Securities
IA capacity

May 4, 2017 → Sep 27, 2019
Usca Securities LLC
BD capacity

Jan 21, 2016 → May 4, 2017
Usca Ria LLC
IA capacity

Jan 21, 2016 → May 4, 2017
Lpl Financial LLC
BD capacity

Oct 30, 2015 → Feb 5, 2016
Lpl Financial LLC
IA capacity

Oct 30, 2015 → Feb 5, 2016
Amegy Investments, Inc.
BD capacity

May 13, 2003 → Jan 22, 2016
Amegy Investments, Inc.
IA capacity

Jun 27, 2012 → Dec 31, 2015
Fiserv Investor Services, Inc.
BD capacity

May 29, 2001 → May 15, 2003
Chase Securities Of Texas, Inc.
BD capacity

Feb 23, 1990 → May 29, 2001
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Apr 18, 1989 → Mar 6, 1990

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1931010 ↗ FINRA BrokerCheck record for CRD 1931010 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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