Franklin Lewis Klein

CRD 5591163 · J.P. Morgan Securities LLC · Los Gatos, CA

IA RegisteredBroker

Also appears in the source record as: Franklin Klein; Framk Klein; Frank Klein; Franklin L Klein

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (9): California · Colorado · Idaho · Illinois · Nevada · New York · North Carolina · Oregon · Texas
Years in the industry (source record): 16
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5591163 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (9)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Los Gatos, CA · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Los Gatos, CA · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.
Campbell, CA · IA capacity

Jan 26, 2022 → Jan 10, 2024
Charles Schwab & Co., Inc.
Campbell, CA · BC capacity

Jan 26, 2022 → Jan 10, 2024
Td Ameritrade, Inc.
Campbell, CA · BC capacity

Jul 28, 2010 → Dec 20, 2023
Td Ameritrade Investment Management, LLC
Campbell, CA · IA capacity

Jul 28, 2010 → Sep 7, 2023
Td Ameritrade, Inc.
Campbell, CA · IA capacity

Jul 28, 2010 → Oct 14, 2022
Rbc Capital Markets Corporation
San Jose, CA · IA capacity

Dec 1, 2008 → Jan 28, 2010
Rbc Capital Markets Corporation
San Jose, CA · BC capacity

Oct 31, 2008 → Jan 28, 2010

Source & corrections

Where this page comes from

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