Andrew D. Klein
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 Douglas Klein, who also goes by Andrew Klein, Andy Klein, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1997. Andrew had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 2 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
June 19, 2020 - September 11, 2025
WEILD & CO.
July 12, 2017 - July 9, 2018
AUGMENT SECURITIES INC.
March 31, 2008 - September 22, 2015
MARV CAPITAL INC.
July 21, 2005 - April 3, 2006
MORPHEUS SECURITIES LLC
May 15, 2003 - February 22, 2005
SOLEIL SECURITIES CORPORATION
September 4, 1997 - January 3, 2002
WIT CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 1/25/1995
Non-Member General Securities ExaminationCurrent Firm
WEILD & CO.
CRD#: 132398 / SEC#: , 8-66593
Contact information
FINRA licenses (52 States and Territories)
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.
