Dan Klein is a registered investment advisor at First Western Securities, INC., based in Hurst, TX, with 33 years of industry experience. Dan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 28 clients with $42M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
First Western Securities charges a fee based on the value of your portfolio, ranging from 1% to 3% annually, but not exceeding 3%. This fee is paid monthly or quarterly in advance. You'll also be responsible for custodial and trading fees charged by the custodian and broker-dealer. You can end the advisory contract with advance written notice, and any prepaid fees will be refunded for the remaining period.
Location
669 Airport Freeway #409, Hurst, TX, 76053
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
First Western Securities, INC.
First Western Securities, INC.Broker
Previous Registrations
Rauscher Pierce Refsnes, INC.Broker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.