Five Star award winner Scott C. Klein, CFP

PROFESSIONAL PROFILE

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Scott C. Klein, CFP

Senior Partner

TPS Financial/Equitable Advisors

9 North Main St.

Marlboro, NJ 07746

Office: 732-452-7277

SKlein@TPSFinancial.com
www.TPSFinancial.com

Scott Klein obtained the CERTIFIED FINANCIAL PLANNER™
professional designation and has experience in retirement planning and full
financial services since 1995. His focus is to help his clients and employees
of public schools and nonprofit organizations, along with employees &
owners of private corporations and businesses. His goal is to help these
individuals make informed financial decisions regarding retirement planning,
life insurance, college savings, investments and long term care planning.

Scott’s educational approach is easy to understand and not filled with
confusing financial jargon. He begins by spending time discussing your
current situation, then together we identify what matters to you most. After
identifying your needs and goals, we can create a plan that helps identify
which investment or insurance strategies can best fit your situation. The end
result being a personal financial road map which will guide you through the
various phases of your life’s events.

In the five years prior to Scott joining the TPS team, he led a team of top
professionals as the Vice President of the Northeast Region of Equitable Advisors.
He hired, trained and led financial professionals to better service our existing
client base and new customers.

In April 2017 Scott was promoted to Partner with TPS Financial. Here he
focuses on existing and new clients in creating individualized financial plans.

Accreditations & Education
Honors

CFP ® - CERTIFIED FINANCIAL PLANNER™

Series 6, 7,63, 66, and 24 Registrations and Life & Health Insurance
Licenses

Part of the Retirement Benefits Group

Graduated University of Richmond with a BS in Business
Administration and International Business & Marketing

Scott is most proud of the assets his clients have accumulated, totaling
over $300 Million in Retirement Plan Assets he placed under
advisement. Listed are some of the honors he has been awarded:

AXA Equitable Hall of Fame Medal

AXA Advisors , Summit, Centurion, Hallmark, Superior Achievement,
Circle of Excellence

New Jersey 5 Star Wealth Management Award

Keynote Speaker at Conferences and an Elite Advisor and Member
of Equitable Advisors Paramount Planning Group

See Accomplishments

This award was issued on 12/01/2023 by Five Star Professional (FSP) for the time period 03/13/2023 through 09/29/2023. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 6,515 New Jersey-area wealth managers were considered for the award; 462 (7% of candidates) were named 2024 Five Star Wealth Managers. The following prior year statistics use this format: YEAR: # Considered, # Winners, % of candidates, Issued Date, Research Period. 2023: 6,606, 407, 6%, 12/1/22, 3/21/22 - 10/18/22; 2022: 6380, 431, 7%, 12/1/21, 4/12/21 - 10/15/21; 6123, 459, 7%, 12/1/20, 3/30/20 - 10/23/20; 2020: 6210, 480, 8%, 12/1/19, 3/1/19 - 10/16/19; 2019: 6097, 477, 8%, 12/1/18, 3/21/18 - 10/12/18; 2018: 4383, 415, 9%, 12/1/17, 2/21/17 - 10/12/17; 2017: 3868, 664, 17%, 11/1/16, 2/25/16 - 10/7/16; 2016: 4143, 626, 15%, 11/1/15, 4/15/15 - 10/16/15; 2015: 5063, 672, 13%, 12/1/14, 4/15/14 - 10/16/14; 2014: 3315, 646, 19%, 12/1/13, 4/15/13 - 10/16/13; 2013: 4049, 733, 18%, 12/1/12, 4/15/12 - 10/16/12; 2012: 1312, 400, 30%, 11/1/11, 4/15/11 - 10/16/11.

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This associate's full title with the Retirement Benefits Group (RBG), a specialized division of Equitable Advisors, LLC (Equitable Financial Advisors in MI and TN), is Retirement Benefits Specialist -- Tax Sheltered Plans. CFP® and CERTIFIED FINANCIAL PLANNER™ are certification marks owned by the Certified Financial Planner Board of Standards, Inc. These marks are awarded to individuals who successfully complete the CFP Board’s initial and ongoing certification requirements.Scott Klein offers securities through Equitable Advisors, LLC (NY, NY 212-314-4600), member FINRA, SIPC (Equitable Financial Advisors in MI & TN), offers investment advisory products and services through Equitable Advisors, LLC, an SEC-registered investment advisor, and offers annuities and insurance through Equitable Network, LLC. PPG-5994016.1(10/23)(exp. 10/25)

Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria - required: 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as a RIA or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP's consumer complaint process; feedback may not be representative of any one client's experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria - considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager's future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients' assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. Visit www.fivestarprofessional.com.