Gary Klein, ChFC®
Seal Beach, California, 90740
Member Since 2004
We offer a process that integrates your financial resources with your vision of personal fulfillment, security and integrity. The result is not so much a single, rigid financial solution, but a vital process in which your wealth is always at the service of your life. By viewing your goals in tandem with your dreams, desires, and within the context of your means, we work with you every day to grow our understanding of your needs and to ensure your financial wellness.
My Location
Background Information
Years of Financial Experience
- 27
Education
- California State University Fullerton (BA)
- Fuller Theological Seminary (Three Years)
- The American College (ChFC)
Certifications and Designations
- ChFC®
Association Memberships
- Society of Financial Service Professionals
- Investment Management Consultants Association
- International Association of Qualified Financial Planners
Methods of Compensation
- Financial Planning: Asset-based fee, Hourly fee, Fixed fee
- Investment Services: Asset-based fee, Fixed fee
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- Fidelity/National Financial Srvs
Types of Financial Reports
- Performance Report (Quarterly)
- Custodial Report (Monthly)
- Newsletter (Semi-Annually)
Additional Business Practices
- I provide a written agreement to clients before I provide any advice or services.
- I work with remote clients over the telephone and Internet
- My clients have online access to their financial data
- I review my clients' financial plans with them quarterly
- I review my clients' investment portfolios with them quarterly
Registration & Licensing
- CRD/IARD Number: 1021753
- Securities Registrations: Series 63
- Insurance Licenses: Life, Annuity, Long-Term Care, Disability, Health
Company Names
- Registered Investment Advisor: Regal Wealth Group
- Broker/Dealer: None
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Registered or licensed to provide financial advice, services, and products
- Alabama
- Alaska
- Arizona
- Arkansas
- California
- Colorado
- Connecticut
- Delaware
- Florida
- Georgia
- Hawaii
- Idaho
- Illinois
- Indiana
- Iowa
- Kansas
- Kentucky
- Louisiana
- Maine
- Maryland
- Massachusetts
- Michigan
- Minnesota
- Mississippi
- Missouri
- Montana
- Nebraska
- Nevada
- New Hampshire
- New Jersey
- New Mexico
- New York
- North Carolina
- North Dakota
- Ohio
- Oklahoma
- Oregon
- Pennsylvania
- Rhode Island
- South Carolina
- South Dakota
- Tennessee
- Texas
- Utah
- Vermont
- Virginia
- WDC
- Washington
- West Virginia
- Wisconsin
- Wyoming
Planning Services
- Financial Planning, Retirement, College Funding, Estate, Charitable, Tax
Investment Services
- Strategy Development, Written investment policy, Asset allocation, Re-Balancing, Active Managers, Passive Managers, Risk Management, Performance Reporting, Tax Efficient Strategies, Review Current Portfolios
Client Investment Services
- Securities, Active Management, REITS, Index Funds, Exchange Traded Funds, Commodities, Equity
Investment Products
- Mutual Funds, Securities, Commodities, REITs, Equity
Insurance Products
- None
Tax Advice & Services
- Tax Services: Tax Planning, Tax Advice, Tax Efficient Investing
Visit Website - http://www.regalwealthgroup.com
