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RIA / WealthAdvisor20 years in industry

JOHN J KLEIN

Advisor at FISHER\SMB

CARROLLTON, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 2, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: FISHER\SMB
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 2, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 16, 2012
First registration: May 2, 2006
Dual registered: no
Other names: JOHN J KLEIN|JOHN J KLEIN
IAPD individual key: 4827229

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
FISHER\SMB	Institutional manager	Jul 2, 2024	n/a	yes	CARROLLTON, TX	Current employment
FISHER INVESTMENTS	Independent wealth	Mar 20, 2013	Jul 3, 2024	no	SAN MATEO, CA\|PLANO, TX\|PLANO, TX\|CAMAS, WA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 20, 2012	Jan 4, 2013	no	JUPITER, FL	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Dec 14, 2006	May 6, 2008	no	CHICAGO, IL	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	May 2, 2006	Nov 7, 2006	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FISHER INVESTMENTS	FISHER\SMB	Jul 3, 2024	Jul 2, 2024	-1	Bulk transfer	RIA to new firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FISHER INVESTMENTS	Jan 4, 2013	Mar 20, 2013	75	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 6, 2008	Aug 20, 2012	1,567	Firm change after gap	Other
AMERIPRISE ADVISOR SERVICES, INC.	CHASE INVESTMENT SERVICES CORP.	Nov 7, 2006	Dec 14, 2006	37	Firm change	Other

Relationships

Registered with (5)

→ FISHER\SMBRegistered adviserregistration: current employment
Jul 2, 2024 to presentfactForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Mar 20, 2013 to Jul 3, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 20, 2012 to Jan 4, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Dec 14, 2006 to May 6, 2008factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
May 2, 2006 to Nov 7, 2006factForm ADV

Dated events

No dated event names this entity yet.