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Building 2KLEIN PAVLIS & PEASLEY FINANCIAL, INC.

Map pinIRVINE, CA
Phone800-557-5461
NotebookSEC #801-121974
Total AUM
$232.7M
Employees
5
Clients
338

Firm overview

UsersClient Breakdown by AUM

Circle dollar signAUM previous 5 years

Smooth Smooth / Detailed

HotelBusiness

Principal Address
4 PARK PLAZA, STE. 1010
IRVINE
CA 92614
United States
Operating Hours
6:30AM-2:30PM
Monday - Friday
Phone
800-557-5461

ReceiptFinancials

Total AUM
$232.7M
Accounts
808
Discretionary
$232.7M
Accounts
808
Non-Discretionary
$0
Accounts
0

ContactClients

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Individual Clients
277
AUM
$116.9M
HNW Individual Clients
59
AUM
$114.9M
Charitable Organization Clients
1
AUM
$767.8K
Corporation or Business Clients
1
AUM
$53.1K

Briefcase businessServices

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Services Offered
EducationIndividual Portfolio ManagementPublications
Compensation Types
Charges Other FeeCharges Percentage AUMCharges Subscription Fee
Other Compensation
ONLINE EDUCATIONAL CLASSES

Shield checkCompliance

Disclosures
Other Regulator Order (Past 10 Years)Other Regulator Violation FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation Finding
State Registrations
AZCAFLGAILLAMNNCNJNYPASCTXUTVAWA

HandshakeAffiliates

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Affiliates
Reported 2 business affiliates.
Claimed Affiliates
Reported as an affiliate by 0 other businesses.

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