DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Joseph C Klein

Edward Jonesnational BDSpring, Txdual registrantIAPD 1931010

Feed of 09/14/2026

Also filed as Joseph Charles Klein

At current firm

0 y

since Oct 10, 2025

In the industry

37 y

since May 3, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Edward Jones national BD current
since Oct 10, 2025 · Spring, Tx
Trb Wealth Management, LLC other
Jul 31, 2025 to Sep 22, 2025 · Houston, Tx
Valic Financial Advisors, Inc. BD affiliated
Feb 28, 2025 to May 14, 2025 · Houston, Tx
LPL Financial LLC BD affiliated
Apr 26, 2024 to Jan 17, 2025 · Austin, Tx
Charles Schwab & Co., Inc. national BD
Nov 19, 2021 to Mar 6, 2024 · San Antonio, Tx
Next Financial Group, Inc. former
Mar 19, 2021 to Oct 13, 2021 · Houston, Tx
MML Investors Services, LLC BD affiliated
Oct 8, 2019 to Dec 31, 2020 · The Woodlands, Tx
Comerica Securities former
May 4, 2017 to Sep 27, 2019 · Houston, Tx
Usca Ria LLC former
Jan 21, 2016 to May 4, 2017 · Houston, Tx
LPL Financial LLC BD affiliated
Oct 30, 2015 to Feb 5, 2016 · Houston, Tx
Amegy Investments, Inc. former
Jun 27, 2012 to Dec 31, 2015 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

Trb Wealth Management, LLC to Edward Jones
left Sep 22, 2025, registered Oct 10, 2025 (18 days) · RIA to affiliated broker-dealer or bank
Valic Financial Advisors, Inc. to Trb Wealth Management, LLC
left May 14, 2025, registered Jul 31, 2025 (78 days) · Affiliated broker-dealer or bank to independent RIA
LPL Financial LLC to Valic Financial Advisors, Inc.
left Jan 17, 2025, registered Feb 28, 2025 (42 days) · Affiliated broker-dealer or bank to another
Charles Schwab & Co., Inc. to LPL Financial LLC
left Mar 6, 2024, registered Apr 26, 2024 (51 days) · Affiliated broker-dealer or bank to another
Next Financial Group, Inc. to Charles Schwab & Co., Inc.
left Oct 13, 2021, registered Nov 19, 2021 (37 days) · Affiliated broker-dealer or bank to another
MML Investors Services, LLC to Next Financial Group, Inc.
left Dec 31, 2020, registered Mar 19, 2021 (78 days) · Affiliated broker-dealer or bank to another
Comerica Securities to MML Investors Services, LLC
left Sep 27, 2019, registered Oct 8, 2019 (11 days) · Other
Usca Ria LLC to Comerica Securities
left May 4, 2017, registered May 4, 2017 (0 days) · Other
LPL Financial LLC to Usca Ria LLC
left Feb 5, 2016, registered Jan 21, 2016 (-15 days) · Other
Amegy Investments, Inc. to LPL Financial LLC
left Dec 31, 2015, registered Oct 30, 2015 (-62 days) · Other · moved with a team

Signals

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

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: National broker-dealer RIAderived
Years in industry: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address