Gerard A. Klingman
KLINGMAN AND ASSOCIATES | Founder & President
New York, NY 10036
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CRD#: 1196667
Professional summary
Gerard Albert Klingman, CFP®, ChFC®, CLU®, who also goes by Gerry Klingman, is a registered financial advisor currently at KLINGMAN AND ASSOCIATES, LLC located in New York, New York.
Gerard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Gerard has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Biography
Klingman & Associates has a passion to help its clients, their families and its associates reach their life's goals and dreams. As the company's Founder and President, Gerry is widely recognized as a leader in the field of financial planning and investment management. For the past 30+ years, Gerry has provided financial planning and investment advisory services to corporate executives, entrepreneurs, professional athletes and other high-net-worth individuals and their families. In addition to Gerry's recognition by Barron's as one of the Top 100 Independent Advisors each of the past 10 years, Klingman & Associates was named to Barron's first Top 50 Private Wealth Advisory Teams in 2019. Gerry received the 2016 Invest in Others Lifetime Achievement Award for his more than twenty years of service to Best Buddies International.
Question & Answer
What are your service offerings?
Trading individual securities
Financial planning
Trust & estate planning
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
Are you a "fiduciary"?
Yes
Aliases
Gerry Klingman
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.
1) Avgk Ventures, LLC. New York, NY. Passive Investment In A New Restaurant. Started: 09/01/2010. 1 Hour Weekly, 0 During Trading Hours. 2) Trustee - New York, NY. Trustee On 2 Accounts. Started 06/10/2011. .5 Hours Weekly, .5 During Trading Hours. 3) Klingman And Associates LLC - New York, NY. 5/2006 To Present. Investment Related. Officer-Ceo.Independent Ria.160 Hrs/Mo:130 Hrs During Trading:Registered Investment Advisor. 4) Klingman Risk Management, LLC. New York, NY. Investment Related. Started:12/2015. Officer/Ceo. Non-Variable Insurance Agent. 1 Hr Per Month During Trading Hrs. 5)JJGM Partners. Investment Related. Started:04/2015. Glenside, Pa. 0 Hrs Per Month. Passive Investor. 6) Klingman Holdings LLC. New York, NY. Owner. Investment Related. Started:07/2014. 0 Hrs Per Month. Holding Company I Formed Through Which I May Own Interests In Other Operating Entities. 7) Name of Business : Mac1 Food and Beverage, LLC/ Summer Day Address: Bedford Corners, NY Nature of the Business: Personal/Private Investment Position/Title: Investment Related: Yes Start Date: 03/10/2017 Hours per month devoted to this business: 2 Hours per month devoted to this business during trading hours: 0 Description of duties: Passive Investor 8)Name of Business : NA Address: 1133 Ave of the Americas Suite 3110,New York, NY Nature of the Business: Trustee Position/Title: Trustee Investment Related: Yes Start Date: 06/04/2010 Hours per month devoted to this business: 4 Hours per month devoted to this business during trading hours: 0.5 Description of duties: Investment Management
CRS (Client Relationship Summary) - RIA
Click below to view Gerard Albert Klingman'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®
CFP®
Start date: 1989
Experience
Current
May 2, 2007 - Present
KLINGMAN AND ASSOCIATES, LLC
Office #1: 120 West 45th Street Suite 3800, New York, NY 10036RIA
CRD#: 125618
New York, NY
Past
January 6, 2006 - July 10, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
NEW YORK, NY
Past
February 19, 1987 - January 6, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
October 14, 1986 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
October 19, 1983 - October 28, 1986
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KLINGMAN AND ASSOCIATES, LLC
KLINGMAN AND ASSOCIATES, LLC
CRD#: 125618 / SEC#: 801-67783
RIA
Registered Investment Advisory firm - (4/17/2007 Approved)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
New York(6/1/2021)
IAR
Texas(5/2/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/24/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
KA
KLINGMAN AND ASSOCIATES, LLC
KLINGMAN AND ASSOCIATES, LLC
CRD#: 125618 / SEC#: 801-67783
RIA
Registered Investment Advisory firm - (4/17/2007 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
120 West 45th Street Suite 3800, New York, NY 10036
Mailing Address
Phone number
(212) 867-7647
Established
Firm type
Fiscal year end
# of Employees
25
SEC notice filing (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,132 |
| AUM (Assets Under Management) | $ 4,836,523,207 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2025 | ||
| 01/10/2025 | ||
| 01/23/2024 | ||
| 04/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KLINGMAN AND ASSOCIATES, LLC
Founder & PresidentCRD#: 125618New York, NY 10036TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
