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TK

Todd F. Kling

PHX FINANCIAL
New York, NY 10005
Some features on this profile are disabled
CRD#: 3034284
TK

Professional summary

Todd Franklin Kling, who also goes by Todd F Kling, is a registered financial professional currently at PHX FINANCIAL, INC. located in New York, New York.

Todd is registered as a RR (Registered Representative) and started their career in finance in 1999. Todd has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd F Kling

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Todd Franklin Kling'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

November 11, 2025 - Present

PHX FINANCIAL, INC.

Office #1: 100 Wall Street Floor 10, New York, NY 10005
BD
CRD#: 144403
New York, NY
Past

October 15, 2024 - August 26, 2025

BLV SECURITIES

BD
CRD#: 35205
ORADELL, NJ
Past

July 18, 2018 - November 16, 2023

VANTAGE WEALTH MANAGEMENT LLC

RIA
CRD#: 179535
AVENTURA, FL
Past

July 30, 2016 - September 27, 2022

JOSEPH STONE CAPITAL L.L.C.

BD
CRD#: 159744
NEW YORK, NY
Past

March 9, 2015 - August 9, 2016

OSAIC WEALTH, INC.

RIA
CRD#: 23131
NEW YORK, NY
Past

March 9, 2015 - August 9, 2016

OSAIC WEALTH, INC.

BD
CRD#: 23131
NEW YORK, NY
Past

January 31, 2011 - April 17, 2015

FIRST MIDWEST SECURITIES, INC.

RIA
CRD#: 21786
NEW YORK, NY
Past

January 31, 2011 - April 17, 2015

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
NEW YORK, NY
Past

February 9, 2010 - February 9, 2011

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
NEW YORK, NY
Past

July 14, 2008 - December 31, 2009

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
NEW YORK, NY
Past

May 3, 2007 - February 9, 2011

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
NEW YORK, NY
Past

April 20, 1999 - May 29, 2007

EASTBROOK CAPITAL GROUP LLC

BD
CRD#: 39781
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(12/1/2025)
RR
Georgia
(12/4/2025)
RR
Indiana
(1/22/2026)
RR
Kansas
(12/4/2025)
RR
Michigan
(1/9/2026)
RR
New York
(11/14/2025)
RR
Ohio
(11/20/2025)
RR
Texas
(11/24/2025)
RR
Wisconsin
(2/12/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/3/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/5/2010
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/15/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/30/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PF
PHX FINANCIAL, INC.
BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
100 Wall Street Floor 10, New York, NY 10005
Mailing Address
100 Wall Street Floor 10, New York, NY 10005
Phone number
(212) 776-4187
Established
Florida since 12/27/2006
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LPPARENT OF BROKER DEALER
CHEN, KEVINCEO4871316
GILMAN, ROBERT CRAIGFINOP - PFO1738412
MONTANA, JOSEPH RYANROSFP, MSRB PRINCIPAL5640919
OTOYA, DANIEL ORLANDOCHIEF COMPLIANCE OFFICER2208241

Disclosures

Regulatory Event4
Arbitration2

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.

Company Information

PHX FINANCIAL, INC.

CRD#: 144403New York, NY 10005

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