Sami Sharif

KLINGMAN AND ASSOCIATES

New York, NY 10036

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CRD#: 5404529

Professional summary

Sami Sharif is a registered financial advisor currently at KLINGMAN AND ASSOCIATES, LLC located in New York, New York.

Sami is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Sami has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sami Sharif'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 1, 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

May 4, 2016 - February 15, 2018

WEALTHSPIRE ADVISORS

RIA

CRD#: 106181

NEW YORK, NY

Past

January 28, 2013 - May 28, 2014

MORGAN STANLEY

RIA

CRD#: 149777

MORRISTOWN, NJ

Past

January 1, 2013 - May 28, 2014

MORGAN STANLEY

CRD#: 149777

MORRISTOWN, NJ

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
(6/1/2021)

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

IAR

Series 66

Date: 1/25/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/27/2012

General Securities 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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Sami Sharif

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sami Sharif's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTHSPIRE ADVISORS

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

KLINGMAN AND ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/25/2013

SIE

Date: 11/8/2018

Series 7

Date: 12/27/2012

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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