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MP

Michael D. Paley

KLINGMAN AND ASSOCIATES
New York, NY 10036
Some features on this profile are disabled
CRD#: 6324110
MP

Professional summary

Michael David Paley is a registered financial advisor currently at KLINGMAN AND ASSOCIATES, LLC located in New York, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Michael has worked at 1 firm .

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 Michael David Paley'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

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".
KA
KLINGMAN AND ASSOCIATES, LLC
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)

Exams

Current Firm

KA
KLINGMAN AND ASSOCIATES, LLC
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
25

SEC notice filing (19 States and Territories)

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

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 Accounts3,132
AUM (Assets Under Management)$ 4,836,523,207

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

KLINGMAN AND ASSOCIATES, LLC

CRD#: 125618New York, NY 10036

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