Insight-based advice

Where are you today and where do you want to be tomorrow? We recognize that a lasting relationship starts by listening and understanding your priorities and concerns. We'll work together to look at the big picture, discuss your vision for the future and help you confidently pursue your life goals.

Mountaintop observatory

James "Jim" Klein

Senior Vice President

My experience in financial services began in 1966 and I have been focused on futures investments since 1980, including serving as Chairman of PaineWebber Futures Management Corp., before it was acquired by UBS Financial services. I have managed futures funds, futures pools, fund of funds and individual futures accounts as a licensed Commodity Trading Advisor for decades.

Personal & Community

  • Four Children
  • Four Grandchildren
  • Married 45 years
Registered States:
  • AR
  • AZ
  • CA
  • CO
  • FL
  • MA
  • MD
  • ME
  • MI
  • NJ
  • NY
  • OR
  • SC
  • SD
  • TX
  • UT
  • WA
  • WY


  • B.A., University of Arizona
555 California Street
32nd/ 34th /46th Floor
San Francisco, CA 94104
  • (415) 576-2988

Email Me

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Legacy—Wealth for others

For needs that go beyond your own—to help you improve the lives of others

What will your legacy be?
It’s never too early to plan ahead. A Legacy strategy can help you gain more control over your financial future and what you leave behind, so you can move forward with confidence.

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