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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

Jonathan Klein

Advisor at LPL ENTERPRISE, LLC

HUNTINGTON, NY | MELVILLE, NY

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Search this name across graphsid dfx:ria:718ef4bb-542f-56a6-8517-2c4a7da3a3d4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Dec 13, 2005 to Sep 15, 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: LPL ENTERPRISE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 28, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Mar 28, 1995
First registration: Dec 13, 2005
Dual registered: yes, broker-dealer
Other names: JONATHAN DARRYL KLEIN|Jon Klein
IAPD individual key: 2457251

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
LPL ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	n/a	yes	HUNTINGTON, NY\|MELVILLE, NY	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Oct 24, 2023	Nov 14, 2024	no	Riverhead, NY\|Melville, NY\|Melville, NY	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Aug 17, 2023	Oct 24, 2023	no	NEW YORK, NY	Previous registration
STIFEL, NICOLAUS & COMPANY, INCORPORATED	National bd RIA	Dec 4, 2015	Jan 21, 2022	no	NEW YORK, NY\|ST. LOUIS, MO	Previous registration
BARCLAYS CAPITAL INC.	Former SEC adviser	Sep 28, 2010	Dec 4, 2015	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 1, 2010	no	New York, NY	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Dec 13, 2005	Jun 1, 2009	no	NEW YORK, NY\|NEW YORK, NY	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
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	PRUCO SECURITIES, LLC	Oct 24, 2023	Oct 24, 2023	0	Firm change	Other
STIFEL, NICOLAUS & COMPANY, INCORPORATED	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jan 21, 2022	Aug 17, 2023	573	Firm change after gap	Other
BARCLAYS CAPITAL INC.	STIFEL, NICOLAUS & COMPANY, INCORPORATED	Dec 4, 2015	Dec 4, 2015	0	Bulk transfer	Other
MORGAN STANLEY	BARCLAYS CAPITAL INC.	Oct 1, 2010	Sep 28, 2010	-3	Firm change	Other
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (7)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Oct 24, 2023 to Nov 14, 2024factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Aug 17, 2023 to Oct 24, 2023factForm ADV
→ STIFEL, NICOLAUS & COMPANY, INCORPORATEDRegistered adviserregistration: previous registration
Dec 4, 2015 to Jan 21, 2022factForm ADV
→ BARCLAYS CAPITAL INC.Registered adviserregistration: previous registration
Sep 28, 2010 to Dec 4, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 1, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Dec 13, 2005 to Jun 1, 2009factForm ADV

Dated events

Occurred
Oct 24, 2023
Advisor changed firm
Jonathan Klein left Northwestern Mutual Investment Services,Llc for Pruco Securities, Llc (registered 2023-10-24)
Form ADVobserved 4 days ago
Occurred
Jan 21, 2022
Advisor changed firm
Jonathan Klein left Stifel, Nicolaus & Company, Incorporated for Northwestern Mutual Investment Services,Llc (registered 2023-08-17)
Form ADVobserved 4 days ago