Kenneth Harris Klein

Investment Adviser Representative at SEELAUS ASSET MANAGEMENT, LLC

CHATHAM, NJCRD #1775678Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

9 yrs

States Registered

1 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 1 states

New Jersey

Examinations passed

Series 63

Uniform Securities Agent State Law Examination

Passed 9/22/1997

Series 24

General Securities Principal Examination

Passed 1/22/2004

SIE

Securities Industry Essentials Examination

Passed 9/3/2015

Series 55

Limited Representative-Equity Trader Exam

Passed 2/16/2007

Series 3

National Commodity Futures Examination

Passed 3/23/1989

Series 7

General Securities Representative Examination

Passed 1/16/1988

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Blended rate

0.015

Source

SEELAUS ASSET Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ALADDIN CAPITAL LLC

5/28/2009 – 12/31/2011STAMFORD, CT

OPPENHEIMER & CO., INC.

5/15/1989 – 11/20/1995NEW YORK, NY

PAINEWEBBER INCORPORATED

2/21/1996 – 11/29/2000WEEHAWKEN, NJ

DRESDNER KLEINWORT WASSERSTEIN - GRANTCHESTER, INC.

2/1/2002 – 1/6/2003NEW YORK, NY

MC ASSET MANAGEMENT AMERICAS, LTD.

12/20/2013 – 9/3/2015STAMFORD, CT

DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC

12/18/2000 – 2/1/2002NEW YORK, NY

DRESDNER KLEINWORT SECURITIES LLC

1/9/2003 – 4/1/2009NEW YORK, NY

SALOMON BROTHERS INC.

1/19/1988 – 5/23/1989NEW YORK, NY

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kenneth Harris 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.