Neil Klein

from Carret Asset Management, LLC
SEC regulated
Regulated Investment Advisor
Neil Klein is a financial advisor based in New York, New York, with 35 years of experience. Neil currently works for Carret Asset Management, LLC. Neil maintains the following licenses: S63 (Uniform Securities Agent State Law Examination), S65 (Uniform Investment Adviser Law Examination), qualifying them as both a securities agent and an investment advisor representative.
This advisor is a SEC regulated
Fiduciary duty to act in the best interests of your finances
Regulated by The Securities and Exchange Commission (SEC)
Transparent about fees and never take commission when recommending a financial product
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Neil Klein works at Carret Asset Management, LLC
Carret Asset Management, LLC is a financial advisory firm based in New York, New York. It currently has approximately $3,022,824,356 of assets under management and employs about 24 people. Carret Asset Management, LLC uses a fee structure of a percentage of assets under your management, fixed fees and performance-based fees.
Certifications and registrations
Uniform Securities Agent State Law Examination (S63)
Uniform Investment Adviser Law Examination (S65)
Years registered
8 years
Fee structure
A percentage of assets under your management, fixed fees and performance-based fees
Office location
360 Madison Avenue, 20th Floor, New York, New York, 10017

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