KLEIN PAVLIS & PEASLEY FINANCIAL, INC. of IRVINE, CA is an SEC-registered investment adviser (CRD 112414). Regulatory assets under management: $232.7M.
Compensation: % of AUM, Subscription, Other.
Clients served: High net worth, Corporations.
| Name | Role | Location |
|---|---|---|
| Justin Alan Klein | CEO & SECRETARY/TREASURER | — |
| Jason Robert Topor | CHIEF COMPLIANCE OFFICER | — |
| PIVAN LETTIE HADA | CHIEF COMPLIANCE OFFICER | — |
| KLEIN GERALD HOWARD | BOARD MEMBER; VICE PRESIDENT; VICE PRESIDENT/CHIEF COMPLIANCE OFFICER (+1 more) | — |
| KLEIN EVA ALMA | BOARD MEMBER; BOARD MEMEBER; PRESIDENT | — |
| PEASLEY STEPHAN GLENN | PRESIDENT | — |
| KLEIN JUSTIN ALAN | CEO & SECRETARY/TREASURER; INVESTMENT ADVISOR REP | — |
| PAVLIS JUDITH ANN | SECRETARY/TREASURER | — |
| TOPOR JASON ROBERT | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-05-06 | regulatory | FROM IN OR ABOUT OCTOBER 2018 THROUGH APRIL 2019, KPPF TRANSACTED BUSINESS IN PENNSYLVANIA AS AN INVESTMENT ADVISER WHILE NEITHER REGISTERED NOR EXEMPT FROM REGISTRATION. BY ENGAGING IN THE ACTS AND CONDUCT SET FORTH, KPPF TRANSACTED BUSINESS AS AN INVESTMENT ADVISER IN VIOLATION OF SECTION 301(C) O… | Final | $20K |
| 2005-07-08 | regulatory | VIOLATIONS OF SECTIONS 5(A) AND 5 (C) OF THE SECURITIES ACT PROHIBITING THE OFFERING OR SELLING OF A SECURITY UNLESS AN APPROPRIATE REGISTRATION STATEMENT IS IN EFFECT OR A VALID EXEMPTION FROM REGISTRATION EXISTS AND SECTION 7(A) OF THE INVESTMENT COMPANY ACT PROHIBITING ANY INVESTMENT COMPANY FROM… | Final | $40K |
| 2005-07-08 | civil | VIOLATIONS OF SECTIONS 5(A) AND 5(C) OF THE SECURITIES EXCHANGE ACT PROHIBITING THE OFFFERING OR SELLING OF A SECURITY UNLESS AN APPROPRIATE REGISTRATION STATEMENT IS IN EFFECT OR A VALID EXEMPTION FROM REGISTRATION EXISTS AND SECTION 7(A) OF THE INVESTMENT COMPANY ACT PROHIBITING ANY INVESTMENT COM… | Final | $40K |
| 1987-12-07 | civil | EXECUTION OF AGENCY SECURITIES TRANSACTION WITHIN THE STATE OF GEORGIA PRIOR TO EFFECTIVE DATE OR REGISTRATION | Final | $2K |