Joseph C Klein
Investment Adviser Representative at Edward Jones
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Joseph C. Klein is an investment adviser representative with Edward Jones in Spring, TX, where they have been registered since 2025. They have worked in the securities industry since 1990 and have been registered with 10 firms, including TRB Wealth Management, LLC and Valic Financial Advisors, Inc. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Texas.
Registrations & licenses
- Investment adviser:
- Texas
- Broker:
2 states and territories
Arizona, Texas
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.
- USCA Securities LLCJan 2016 – May 2017Houston, TX
- Comerica Securities, Inc.May 2017 – Sep 2019Houston, TX
- MML Investors Services, LLCSep 2019 – Dec 2020Houston, TX
- MASS Mutual LIFE Insurance CompanySep 2019 – Feb 2021Houston, TX
- Innovative Premier Financial ServicesDec 2020 – Sep 2021Houston, TX
- Charles SchwabOct 2021 – Feb 2024Austin, TX
- LPL Financial LLCApr 2024 – Jan 2025Austin, TX
- Valic Financial Advisors IncMar 2025 – May 2025Houston, TX
- TRB Wealth ManagementMay 2025 – Aug 2025Houston, TX
- Edward JonesOct 2025 – no end date reportedSt Louis, MO
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Edward Jones
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Other
- Firm account minimum
- $25,000
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
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 23,937
- Offices listed on AdvisorFinder:
- 26
- Main office:
- St. Louis, MO
- SEC file number:
- 801-3297
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 25, 2026
View full firm profileOther advisors at Edward Jones
Showing 12 of 23,937 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joseph C Klein 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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