Alan Harold Klein
Financial Adviser in Vaucluse, New South Wales, Australia
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Australian Securities and Investments Commission (ASIC)
Adviser number000249778
- Location
- Vaucluse NSW 2030
- Licensee
- Politis Investment Strategies Pty Ltd (AFSL 253125)
- Authorised since
- 10 October 2022
- First provided advice
- 2004
- Qualifications
- Advanced Diploma of Financial Services (FinancialPlanning) FNS 60404, Kaplan Professional Education (2006); Certified Financial Planner 4, FPA (2010); Certificate IV Finance and Mortgage Broking FNS40811, AAMC Training Group (2014); Self Managed Superannuation Funds, Mentor Education (2015); RG146 Tier 1 Specialist Margin Lending Course, International Institute of Technology (2017); Graduate Diploma of Financial Planning, Kaplan Professional (2023)
- Memberships
- Financial Advice Association of Australia (FAAA); NSW Buisness Chamber
- Advice areas
- superannuation, managed investment schemes, life risk insurance, life investment products, deposit and payment products
- Restriction
- Financial product advice restricted as per Notice of Authorisation and Approved Product List issued
- Tax (financial) advice
- Yes
- Register status
- Current
About Alan Harold Klein
On the Financial Advisers Register kept by ASIC, Alan Harold Klein appears as a current financial adviser in Vaucluse, New South Wales, adviser number 000249778.
The licensee Alan advises under is Politis Investment Strategies Pty Ltd (AFS licence 253125). That authorisation dates from 10 October 2022.
According to the register, Alan first provided financial advice in 2004. The qualifications listed for Alan include Advanced Diploma of Financial Services (FinancialPlanning) FNS 60404 (Kaplan Professional Education, 2006), Certified Financial Planner 4 (FPA, 2010) and Certificate IV Finance and Mortgage Broking FNS40811 (AAMC Training Group, 2014). Professional memberships recorded: Financial Advice Association of Australia (FAAA) and NSW Buisness Chamber.
The authorisation covers advice on superannuation, managed investment schemes, life risk insurance, life investment products and deposit and payment products. The register also shows that tax (financial) advice services can be provided.
A further restriction is recorded on the register: “Financial product advice restricted as per Notice of Authorisation and Approved Product List issued.”
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Questions people ask
Is Alan Harold Klein a registered financial adviser?
Yes. Alan Harold Klein is listed as a current financial adviser on ASIC's Financial Advisers Register under adviser number 000249778.
Which licensee does Alan Harold Klein work under?
Politis Investment Strategies Pty Ltd, Australian financial services licence 253125.
What can Alan Harold Klein give advice on?
The register lists these advice areas: superannuation; managed investment schemes; life risk insurance; life investment products; deposit and payment products. It also records this restriction: "Financial product advice restricted as per Notice of Authorisation and Approved Product List issued."