Derek G Kleinman
Investment Adviser Representative at Charles Schwab & Co., Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Derek G. Kleinman is an investment adviser representative with Charles Schwab & Co., Inc. in New York City, NY, where they have been registered since 2022. They have worked in the securities industry since 2020 and have been registered with 3 firms, including TD Ameritrade Investment Management, LLC and TD Ameritrade, Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in New York.
Office
Advisors at this office: 16
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New York
- Broker:
18 states and territories
California, Connecticut, Delaware, Florida, Maryland, Massachusetts, Minnesota, Nevada, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Puerto Rico, South Carolina, Texas, Vermont, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- StudentAug 2016 – Jun 2017Montclair, NJ
- MKA Star CampJun 2017 – Aug 2017Montclair, NJ
- Franklin & Marshall College Athletics DepartmentAug 2017 – Jun 2018Lancaster, PA
- Crystal & CompanyJun 2018 – Aug 2018New York, NY
- Franklin & Marshall College Athletics DepartmentAug 2018 – Jun 2019Lancaster, PA
- MKA Star CampJun 2019 – Aug 2019Montclair, NJ
- Franklin & Marshall College Athletics DepartmentAug 2019 – Jun 2020Lancaster, PA
- TD Ameritrade, IncJun 2020 – May 2024Montclair, NJ
- Charles Schwab & Co., Inc.Jan 2022 – no end date reportedNew York City, NY
- Charles Schwab Bank, SSBJul 2022 – no end date reportedNew York City, NY
- TD Ameritrade Investment Management, LLCSep 2020 – Sep 2023Montclair, NJ
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Charles Schwab & Co., Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
- Firm account minimum
- $500,000
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
Similar advisors in New York City, NY
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Derek G Kleinman has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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