Thomas J. Klingman

KLINGMAN AND ASSOCIATES

New York, NY 10036

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CRD#: 5378593

Professional summary

Thomas Joseph Klingman is a registered financial advisor currently at KLINGMAN AND ASSOCIATES, LLC located in New York, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Thomas has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 79 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) Name of Business : NA Address: 120 West 45th Street, Suite 3800,New York, NY Nature of the Business: Non-variable Insurance Position/Title: Agent Investment Related:Yes Start Date: 07/2012 Hours per month devoted to this business: 5 Hours per month devoted to this business during trading hours: 0 Description of duties: insurance sales .

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Klingman'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

June 17, 2021 - Present

KLINGMAN AND ASSOCIATES, LLC

Office #1: 120 West 45th Street Suite 3800, New York, NY 10036

RIA

CRD#: 125618

New York, NY

Past

December 15, 2014 - July 10, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

NEW YORK, NY

Past

July 23, 2012 - April 1, 2014

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

NEW YORK, NY

Past

September 10, 2010 - July 25, 2012

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

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".

KLINGMAN AND ASSOCIATES, LLC

CRD#: 125618 / SEC#: 801-67783

RIA

Registered Investment Advisory firm - (4/17/2007 Approved)

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.

Highlighted states indicate IAR registrations

IAR

New York
(6/17/2021)

IAR

Texas
(11/29/2021)

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

Series 63

Date: 9/1/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/2014

General Securities Representative Examination

General Industry/Product Exam

Series 79

Date: 9/9/2010

Investment Banking Registered Representative Examination

Current Firm

KLINGMAN AND ASSOCIATES, LLC

CRD#: 125618 / SEC#: 801-67783

RIA

Registered Investment Advisory firm - (4/17/2007 Approved)

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Contact information

Main Address

120 West 45th Street Suite 3800, New York, NY 10036

Mailing Address

Phone number

(212) 867-7647

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KLINGMAN & ASSOCIATES, LLC DISCLOSURE BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	3,132
AUM (Assets Under Management)	$ 4,836,523,207

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2025	Cover Page	Report
01/10/2025	Cover Page	Report
01/23/2024	Cover Page	Report
04/27/2023	Cover Page	Report

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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Thomas J. Klingman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Klingman's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

DEUTSCHE BANK SECURITIES INC.

Primary Firm SEC Registration

KLINGMAN AND ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/1/2010

SIE

Date: 10/1/2018

Series 7

Date: 12/15/2014

Series 79

Date: 9/9/2010

Current Firm

KLINGMAN AND ASSOCIATES, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KLINGMAN AND ASSOCIATES, LLC

TRUST BUT VERIFY

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