Andrew A. Klein

PARAMOUNT ASSOCIATES WEALTH MANAGEMENT

Greenwood Village, CO 80111

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CRD#: 1308591

Professional summary

Andrew Abraham Klein, who also goes by Andrew A Klein, Andrew Klein, is a registered financial advisor currently at PARAMOUNT ASSOCIATES WEALTH MANAGEMENT located in Greenwood Village, Colorado.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Andrew has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew A Klein | Andrew Klein

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.

Paramount Associates LLC; Greenwood Village, CO; Investment related; Started 6/2017; Investment Adviser Representative; 320 hrs/month; 100 hrs/month during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Abraham Klein's CRS (Customer Relationship Summary).

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

June 26, 2017 - Present

PARAMOUNT ASSOCIATES WEALTH MANAGEMENT

Office #1: 6400 S. Fiddlers Green Circle #1310, Greenwood Village, CO 80111

RIA

CRD#: 288537

Greenwood Village, CO

Past

June 29, 2017 - September 7, 2017

SGMA CAPITAL MARKETS LIMITED

CRD#: 135327

NEW YORK, NY

Past

June 19, 2009 - June 30, 2017

WADDELL & REED

RIA

CRD#: 866

DENVER, CO

Past

June 19, 2009 - June 30, 2017

WADDELL & REED

CRD#: 866

DENVER, CO

Past

June 1, 2009 - June 26, 2009

MORGAN STANLEY

RIA

CRD#: 149777

DENVER, CO

Past

June 1, 2009 - June 26, 2009

MORGAN STANLEY

CRD#: 149777

DENVER, CO

Past

June 1, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DENVER, CO

Past

May 22, 1989 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

DENVER, CO

Past

January 23, 1985 - May 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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".

PARAMOUNT ASSOCIATES WEALTH MANAGEMENT

PARAMOUNT ASSOCIATES WEALTH MANAGEMENT | PARAMOUNT ASSOCIATES, LLC | PARAMOUNT ASSOCIATES WEALTH MANAGEMENT, LLC

CRD#: 288537 / SEC#: 801-125797

RIA

Registered Investment Advisory firm - (6/3/2022 Approved)

Colorado

Registered Investment Advisory firm - (6/29/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (6/30/2022 Terminated)

New York

Registered Investment Advisory firm - (6/29/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2022 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/29/2022 Terminated)

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).

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

Colorado
(6/26/2017)

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

State Security Law Exam

IAR

Series 66

Date: 5/15/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/12/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/7/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/19/1985

General Securities Representative Examination

Current Firm

PARAMOUNT ASSOCIATES WEALTH MANAGEMENT

PARAMOUNT ASSOCIATES WEALTH MANAGEMENT | PARAMOUNT ASSOCIATES, LLC | PARAMOUNT ASSOCIATES WEALTH MANAGEMENT, LLC

CRD#: 288537 / SEC#: 801-125797

RIA

Registered Investment Advisory firm - (6/3/2022 Approved)

Colorado

Registered Investment Advisory firm - (6/29/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (6/30/2022 Terminated)

New York

Registered Investment Advisory firm - (6/29/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/29/2022 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/29/2022 Terminated)

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Contact information

Main Address

6400 S. Fiddlers Green Circle #1310, Greenwood Village, CO 80111

Mailing Address

Phone number

(720) 921-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A/2B BROCHURE (6/11/2025)

WRAP FEE BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	501
AUM (Assets Under Management)	$ 125,128,511

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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Advisor Monitoring

Firm Stability Insights

Andrew A. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Abraham Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

SGMA CAPITAL MARKETS LIMITED

WADDELL & REED

WADDELL & REED

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

PARAMOUNT ASSOCIATES WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 5/15/2001

Series 63

Date: 2/12/1985

SIE

Date: 9/7/2017

Series 7

Date: 1/19/1985

Current Firm

PARAMOUNT ASSOCIATES WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARAMOUNT ASSOCIATES WEALTH MANAGEMENT

TRUST BUT VERIFY

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