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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

WILLIAM SCOTT KLEIN

Advisor at STRATEGIC ADVISERS LLC

BOCA RATON, FL | CORAL SPRINGS, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c1544ec7-2d11-b5ae-0f4a-9b434bfb0d48

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 23, 2002 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: STRATEGIC ADVISERS LLC
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: Aug 1, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S65|S66|S63
First exam: Feb 16, 1995
First registration: May 23, 2002
Dual registered: yes, broker-dealer
Other names: BILL KLEIN
IAPD individual key: 2365859

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
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	BOCA RATON, FL\|CORAL SPRINGS, FL	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Nov 24, 2021	Mar 31, 2025	no	BOCA RATON, FL	Previous registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	Asset manager	May 23, 2002	May 13, 2019	no	PARSIPPANY, NJ\|NEW YORK, NY\|Parkland, FL	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
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
NEW YORK LIFE INVESTMENT MANAGEMENT LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	May 13, 2019	Nov 24, 2021	926	Firm change after gap	Other

Relationships

Registered with (3)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Nov 24, 2021 to Mar 31, 2025factForm ADV
→ NEW YORK LIFE INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
May 23, 2002 to May 13, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c1544ec7-2d11-b5ae-0f4a-9b434bfb0d48
First observed: May 23, 2002
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.

WILLIAM SCOTT KLEIN

Advisor at STRATEGIC ADVISERS LLC

BOCA RATON, FL | CORAL SPRINGS, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c1544ec7-2d11-b5ae-0f4a-9b434bfb0d48

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:46 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

STRATEGIC ADVISERS LLC

National bd RIA

Mar 31, 2025

n/a

yes

BOCA RATON, FL|CORAL SPRINGS, FL

Current employment

FIDELITY PERSONAL AND WORKPLACE ADVISORS

Former SEC adviser

Nov 24, 2021

Mar 31, 2025

BOCA RATON, FL

Previous registration

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Asset manager

May 23, 2002

May 13, 2019

PARSIPPANY, NJ|NEW YORK, NY|Parkland, FL

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

Mar 31, 2025

Bulk transfer

Ibd to ibd

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

May 13, 2019

Nov 24, 2021

926

Firm change after gap

Other