Marc H. Klee

AFA ADVISORS LLC

Larchmont, NY 10538

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CRD#: 1073390

Professional summary

Marc Howard Klee is a registered financial advisor currently at AFA ADVISORS LLC located in Larchmont, New York.

Marc is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Marc has worked at 3 firms and has passed the Series 6 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Director of Inclinix until 2013

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Howard Klee's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 9, 2022 - Present

AFA ADVISORS LLC

Office #1: 2005 Palmer Avenue Suite 172, Larchmont, NY 10538

RIA

CRD#: 105454

Larchmont, NY

Past

August 8, 1997 - July 17, 2000

CAMBRIDGE CAPITAL, LLC

CRD#: 41464

GARDEN CITY, NY

Past

October 12, 1982 - March 13, 1997

RENAISSANCE FINANCIAL SECURITIES CORP.

CRD#: 10735

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(11/28/2022)

IAR

New York
(8/9/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 6

Date: 5/27/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AFA ADVISORS LLC

AFA ADVISORS LLC | AMERICAN FUND ADVISORS INC

CRD#: 105454 / SEC#: 801-14138

RIA

Registered Investment Advisory firm - (8/6/2008 Terminated)

Florida

Registered Investment Advisory firm - (7/8/2008 Approved)

New York

Registered Investment Advisory firm - (6/4/2008 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2005 Palmer Avenue Suite 172, Larchmont, NY 10538

Mailing Address

Phone number

(516) 487-0200

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 3,893,633

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Marc H. Klee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marc Howard Klee's CRS (Customer Relationship Summary).

Certified licenses

Experience

AFA ADVISORS LLC

CAMBRIDGE CAPITAL, LLC

RENAISSANCE FINANCIAL SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 6

Date: 5/27/1982

Current Firm

AFA ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AFA ADVISORS LLC

TRUST BUT VERIFY

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