Andrew J. Kleeger
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Jay Kleeger, who also goes by Andrew Kleeger, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1998. Andrew had worked at 4 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2016 - June 29, 2020
ASCENT CAPITAL ADVISORS (AMERICA) LLC
June 9, 2015 - May 3, 2016
BCW SECURITIES LLC
June 21, 2010 - April 6, 2015
UBS SECURITIES LLC
December 11, 1998 - June 16, 2010
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 7/25/2023
General Securities Representative ExaminationSeries 99TO
Date: 7/25/2023
Operations Professional ExaminationCurrent Firm
ASCENT CAPITAL ADVISORS (AMERICA) LLC
CRD#: 226540 / SEC#: , 8-69620
Contact information
Documents
Red Flags
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