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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

Joseph C Klein

Advisor at EDWARD JONES

SPRING, TX

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Search this name across graphsid dfx:ria:b99f197c-f6fc-0b91-d152-e40c75ff6828

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:44 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 4
On other graphs: 0
Observed: Jun 27, 2012 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: EDWARD JONES
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 3, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: May 3, 1989
First registration: Jun 27, 2012
Dual registered: yes, broker-dealer
Other names: Joseph Charles Klein|Joseph C Klein|Joe Klein|JOSEPH KLEIN
IAPD individual key: 1931010

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
EDWARD JONES	National bd RIA	Oct 10, 2025	n/a	yes	SPRING, TX	Current employment
TRB WEALTH MANAGEMENT, LLC	Other adviser	Jul 31, 2025	Sep 22, 2025	no	HOUSTON, TX	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Feb 28, 2025	May 14, 2025	no	HOUSTON, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 26, 2024	Jan 17, 2025	no	AUSTIN, TX\|FORT MILL, SC	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Nov 19, 2021	Mar 6, 2024	no	San Antonio, TX\|Austin, TX	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Mar 19, 2021	Oct 13, 2021	no	HOUSTON, TX	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Oct 8, 2019	Dec 31, 2020	no	THE WOODLANDS, TX	Previous registration
COMERICA SECURITIES	Former SEC adviser	May 4, 2017	Sep 27, 2019	no	HOUSTON, TX\|HOUSTON, TX	Previous registration
USCA RIA LLC	Former SEC adviser	Jan 21, 2016	May 4, 2017	no	HOUSTON, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 30, 2015	Feb 5, 2016	no	HOUSTON, TX\|SAN DIEGO, CA\|HOUSTON, TX	Previous registration
AMEGY INVESTMENTS, INC.	Former SEC adviser	Jun 27, 2012	Dec 31, 2015	no	HOUSTON, TX\|HOUSTON, TX	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
TRB WEALTH MANAGEMENT, LLC	EDWARD JONES	Sep 22, 2025	Oct 10, 2025	18	Firm change	RIA to ibd
VALIC FINANCIAL ADVISORS, INC.	TRB WEALTH MANAGEMENT, LLC	May 14, 2025	Jul 31, 2025	78	Firm change	Ibd to RIA
LPL FINANCIAL LLC	VALIC FINANCIAL ADVISORS, INC.	Jan 17, 2025	Feb 28, 2025	42	Firm change	Ibd to ibd
CHARLES SCHWAB & CO., INC.	LPL FINANCIAL LLC	Mar 6, 2024	Apr 26, 2024	51	Firm change	Ibd to ibd
NEXT FINANCIAL GROUP, INC.	CHARLES SCHWAB & CO., INC.	Oct 13, 2021	Nov 19, 2021	37	Firm change	Ibd to ibd
MML INVESTORS SERVICES, LLC	NEXT FINANCIAL GROUP, INC.	Dec 31, 2020	Mar 19, 2021	78	Firm change	Ibd to ibd
COMERICA SECURITIES	MML INVESTORS SERVICES, LLC	Sep 27, 2019	Oct 8, 2019	11	Firm change	Other
USCA RIA LLC	COMERICA SECURITIES	May 4, 2017	May 4, 2017	0	Firm change	Other
LPL FINANCIAL LLC	USCA RIA LLC	Feb 5, 2016	Jan 21, 2016	-15	Firm change	Other
AMEGY INVESTMENTS, INC.	LPL FINANCIAL LLC	Dec 31, 2015	Oct 30, 2015	-62	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
120145:6413:TX:2015-12-31	Dec 31, 2015	Oct 30, 2015	HOUSTON, TX	Firm change after gap

Relationships

Registered with (10)

→ EDWARD JONESRegistered adviserregistration: current employment
Oct 10, 2025 to presentfactForm ADV
→ TRB WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 31, 2025 to Sep 22, 2025factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Feb 28, 2025 to May 14, 2025factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 26, 2024 to Jan 17, 2025factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Nov 19, 2021 to Mar 6, 2024factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Mar 19, 2021 to Oct 13, 2021factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Oct 8, 2019 to Dec 31, 2020factForm ADV
→ COMERICA SECURITIESRegistered adviserregistration: previous registration
May 4, 2017 to Sep 27, 2019factForm ADV
→ USCA RIA LLCRegistered adviserregistration: previous registration
Jan 21, 2016 to May 4, 2017factForm ADV
→ AMEGY INVESTMENTS, INC.Registered adviserregistration: previous registration
Jun 27, 2012 to Dec 31, 2015factForm ADV

Dated events

Occurred
Sep 22, 2025
Advisor changed firm
Joseph C Klein left Trb Wealth Management, Llc for Edward Jones (registered 2025-10-10)
Form ADVobserved 5 days ago
Occurred
May 14, 2025
Advisor changed firm
Joseph C Klein left Valic Financial Advisors, Inc. for Trb Wealth Management, Llc (registered 2025-07-31)
Form ADVobserved 5 days ago
Occurred
Jan 17, 2025
Advisor changed firm
Joseph C Klein left Lpl Financial Llc for Valic Financial Advisors, Inc. (registered 2025-02-28)
Form ADVobserved 5 days ago
Occurred
Mar 6, 2024
Advisor changed firm
Joseph C Klein left Charles Schwab & Co., Inc. for Lpl Financial Llc (registered 2024-04-26)
Form ADVobserved 5 days ago