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.

Current firm

GRADIENT INVESTMENTS, LLC

Current firm class

independent wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Aug 1, 2016earliest registration or exam on IAPD

Years in industry

10derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Designations

Chartered Financial Analyst

Exams

S66

First exam

Oct 1, 2022

First registration

Aug 3, 2022

Dual registered

no

Other names

TJ Klein

IAPD individual key

7570666

• Occurred

  Jun 17, 2026
  Advisor changed firm

  Thomas John Klein left Ameriprise Financial Services, Llc for Gradient Investments, Llc (registered 2026-06-24)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:84cbeb37-bea5-63c5-ce2a-aac263b5f12d

First observed

Aug 3, 2022

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.