AK
Andrew K. Klinger
STIFEL, NICOLAUS & COMPANY
New York, NY 10036
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CRD#: 1974398
AK
Professional summary
Andrew Kaye Klinger, who also goes by Andrew K Klinger, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New York, New York.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Andrew has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew K Klinger
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. Times3 LLC; 7703 Sundbrook Sq, New Albany, OH 43054; Thriple net lease, Tenet is Valvoline; Investment property; Oversight; 06/13/2018; 0.5 Hours per Month; Not During Securities Trading Hours; Investment-Related. 2. Investment Condo; 400 East 54th St Apt 5F, New York City, NY 10022; Condominium rental; Help with management of unit; Pay bills; 11/01/2021; 0.10 Hours per Month; Not During Securities Trading Hours; Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Kaye Klinger's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew Kaye Klinger'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®
NoneExperience
Current
September 18, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
New York, NY
Current
September 16, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
New York, NY
Past
March 4, 2019 - September 17, 2020
BENJAMIN F. EDWARDS & COMPANY, INC.
RIA
CRD#: 146936
COLUMBUS, OH
Past
March 1, 2019 - September 17, 2020
BENJAMIN F. EDWARDS & COMPANY, INC.
BD
CRD#: 146936
COLUMBUS, OH
Past
November 7, 2011 - March 4, 2019
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
DUBLIN, OH
Past
May 27, 2009 - March 4, 2019
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
DUBLIN, OH
Past
February 9, 2007 - May 11, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEW ALBANY, OH
Past
February 9, 2007 - May 11, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW ALBANY, OH
Past
June 6, 2005 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
NEW ALBANY, OH
Past
June 3, 2005 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
NEW ALBANY, OH
Past
June 25, 2003 - June 7, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
COLUMBUS, OH
Past
June 7, 1998 - June 7, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
April 19, 1994 - June 11, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
September 12, 1990 - March 25, 1994
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 28, 1989 - July 16, 1990
RODMAN & RENSHAW INC.
BD
CRD#: 724
CHICAGO, IL
Past
August 22, 1989 - November 18, 1989
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/7/2023)
RR
California(9/16/2020)
RR
Florida(9/16/2020)
RR
Illinois(9/30/2020)
RR
Kentucky(9/16/2020)
RR
Massachusetts(10/8/2020)
RR
New Jersey(6/10/2024)
RR
New York(9/16/2020)
IAR
New York(10/14/2025)
RR
Ohio(9/16/2020)
IAR
Ohio(9/18/2020)
RR
Pennsylvania(9/16/2020)
RR
Tennessee(9/16/2020)
IAR
Texas(9/18/2020)
RR
Texas(8/26/2022)
RR
Virginia(9/16/2020)
RR
Washington(7/3/2023)
RR
West Virginia(9/16/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
