Andrew D. Klassen

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CRD#: 4032119

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 Darrell Klassen was a registered financial professional .

Andrew is a previously registered financial professional and started their career in finance in 1999. Andrew had worked at 8 firms and has passed the Series 65, Series 66, Series 63, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 19, 2013 - April 4, 2018

DINUZZO PRIVATE WEALTH, INC.

RIA

CRD#: 112778

BEAVER, PA

Past

January 20, 2011 - November 27, 2012

FIFTH THIRD SECURITIES, INC.

CRD#: 628

ROCKY RIVER, OH

Past

July 3, 2008 - April 6, 2009

LPL FINANCIAL LLC

CRD#: 6413

PEPPER PIKE, OH

Past

May 18, 2006 - February 19, 2008

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

WOODMERE, OH

Past

April 7, 2005 - February 19, 2008

TD AMERITRADE, INC.

RIA

CRD#: 7870

WOODMERE, OH

Past

March 4, 2005 - February 19, 2008

TD AMERITRADE, INC.

CRD#: 7870

WOODMERE, OH

Past

May 26, 2004 - October 1, 2004

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

April 17, 2002 - February 20, 2004

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PORTLAND, OR

Past

November 24, 1999 - March 13, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

DINUZZO PRIVATE WEALTH, INC.

CRD#: 112778 / SEC#: 801-57384

RIA

Registered Investment Advisory firm - (4/7/2000 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/20/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/1/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/7/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 12/10/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/23/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/2007

General Securities Principal Examination

Current Firm

DINUZZO PRIVATE WEALTH, INC.

CRD#: 112778 / SEC#: 801-57384

RIA

Registered Investment Advisory firm - (4/7/2000 Approved)

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Contact information

Main Address

1501 3rd St., Beaver, PA 15009

Mailing Address

Phone number

(724) 728-6564

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/19/2025)

Regulatory assets under management

Total Number of Accounts	2,545
AUM (Assets Under Management)	$ 1,012,887,070

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.

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Advisor Monitoring

Firm Stability Insights

Andrew D. Klassen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIFTH THIRD SECURITIES, INC.

LPL FINANCIAL LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

MML INVESTORS SERVICES, LLC

M HOLDINGS SECURITIES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

DINUZZO PRIVATE WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/20/2013

Series 66

Date: 4/1/2005

Series 63

Date: 12/7/1999

Series 31

Date: 12/10/1999

Series 7

Date: 11/23/1999

Series 24

Date: 1/31/2007

Current Firm

DINUZZO PRIVATE WEALTH, INC.

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DINUZZO PRIVATE WEALTH, INC.

TRUST BUT VERIFY

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