Michael S. Klena

WEALTH APPLE

Rochester, NY

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CRD#: 2145123

Professional summary

Michael Simion Klena is a registered financial advisor currently at WEALTH APPLE, LLC located in Rochester, New York and WEILD & CO. located in New York, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 6 firms and has passed the Series 63, Series 65, Series 82TO, Series 99TO, Series 79TO, Series 7TO, SIE, Series 34, Series 3, Series 7, Series 24 and Series 8 exams.

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.

1)4/2015; Wealth Apple LLC; Philadelphia, PA; Sole Proprietor; 1 hour/week; Registered Investment Adviser, Investment Related. 2)8/2013; Monjoy Holdings LLC; Philadelphia, PA; Sole Proprietor; 1 hour/year; Run company; Investment Related 3) 11/2021; Architect Partners; Tuscon, AZ; Partner; 60 hours/week; M&A, Capital Raising and Advisory (offered through Weild); Investment related 4) 9/2025; quantStrat (AKA Windy Financial); Dover, DE; Unpaid Advisor; 5 hours/week; Helping them thing through a market acceptance of an offering. Includes background on the crypto space, competitor views, and additional strategies for go to market. Does NOT include any formation or capital raising; Not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Simion Klena'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

January 19, 2016 - Present

WEALTH APPLE, LLC

RIA

CRD#: 269908

Rochester, NY

Current

February 19, 2019 - Present

WEILD & CO.

Office #1: 230 Park Avenue 3rd And 4th Floors, New York, NY 10169

CRD#: 132398

New York, NY

Past

May 8, 2006 - January 8, 2010

E*TRADE CLEARING LLC

CRD#: 25025

JERSEY CITY, NJ

Past

November 7, 2002 - January 8, 2010

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

March 13, 1992 - October 28, 2002

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

June 3, 1991 - October 9, 1991

BARING & BROWN, INC.

CRD#: 24929

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.

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

New York
(3/1/2019)

IAR

Pennsylvania
(1/19/2016)

Pennsylvania
(3/1/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/1/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/8/2015

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 7/23/2019

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 2/19/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/12/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 34

Date: 3/9/2012

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

Series 3

Date: 3/2/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/30/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/29/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 7/9/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

WEALTH APPLE, LLC

ALIGNED INVESTOR | WEALTH APPLE, LLC

CRD#: 269908 / SEC#:

New York

Registered Investment Advisory firm - (6/1/2018 Approved)

Pennsylvania

Registered Investment Advisory firm - (1/19/2016 Approved)

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Contact information

Main Address

Philadelphia, PA

Mailing Address

Phone number

(212) 960-8581

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Firm Stability Insights

Michael S. Klena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Simion Klena's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEILD & CO.

E*TRADE CLEARING LLC

E*TRADE SECURITIES LLC

TD AMERITRADE, INC.

BARING & BROWN, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/1/2019

Series 65

Date: 4/8/2015

Series 82TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 7/23/2019

Series 7TO

Date: 2/19/2019

SIE

Date: 12/12/2018

Series 34

Date: 3/9/2012

Series 3

Date: 3/2/2012

Series 7

Date: 5/30/1991

Series 24

Date: 6/29/2001

Series 8

Date: 7/9/1993

FINRA

Current Firm

WEALTH APPLE, LLC

Contact information

Documents

Red Flags

Company Information

WEALTH APPLE, LLC

TRUST BUT VERIFY

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