Andrew J. Klein

WALKNER CONDON FINANCIAL ADVISORS LLC

MADISON, WI 53711

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CRD#: 6399086

Professional summary

Andrew J Klein, who also goes by Andrew Klein, is a registered financial advisor currently at WALKNER CONDON FINANCIAL ADVISORS LLC located in Madison, Wisconsin.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Andrew has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew Klein

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.

F Point Consulting LLC, Investment Related, 434 S Yellowstone Dr. STE 201 Madison, WI 53719, Business Consulting, Owner, 12/10/2019, 4 Hours Per Month, 1 Hour During Securities Trading Hours Per Month, Consulting

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew J Klein'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

July 16, 2024 - Present

WALKNER CONDON FINANCIAL ADVISORS LLC

Office #1: 3418 Monroe Street, Madison, WI 53711

RIA

CRD#: 160109

MADISON, WI

Past

October 6, 2022 - July 24, 2024

GATEWAY WEALTH PARTNERS, LLC

RIA

CRD#: 322789

Madison, WI

Past

May 6, 2021 - December 31, 2022

ADVISORS' PRIDE INC.

RIA

CRD#: 170669

Madison, WI

Past

April 30, 2021 - July 24, 2024

LPL FINANCIAL LLC

CRD#: 6413

MADISON, WI

Past

May 5, 2015 - May 6, 2021

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

MADISON, WI

Past

October 9, 2014 - May 6, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

MADISON, WI

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".

WALKNER CONDON FINANCIAL ADVISORS LLC

WALKNER CONDON FINANCIAL ADVISORS | WALKNER CONDON FINANCIAL ADVISORS, LLC | WALKNER CONDON FINANCIAL ADVISORS LLC

CRD#: 160109 / SEC#: 801-114882

RIA

Registered Investment Advisory firm - (3/26/2019 Approved)

Illinois

Registered Investment Advisory firm - (3/26/2019 Terminated)

Michigan

Registered Investment Advisory firm - (3/28/2019 Terminated)

Texas

Registered Investment Advisory firm - (3/28/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/28/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Wisconsin
(7/16/2024)

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: 4/3/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/2014

General Securities Representative Examination

Current Firm

WALKNER CONDON FINANCIAL ADVISORS LLC

WALKNER CONDON FINANCIAL ADVISORS | WALKNER CONDON FINANCIAL ADVISORS, LLC | WALKNER CONDON FINANCIAL ADVISORS LLC

CRD#: 160109 / SEC#: 801-114882

RIA

Registered Investment Advisory firm - (3/26/2019 Approved)

Illinois

Registered Investment Advisory firm - (3/26/2019 Terminated)

Michigan

Registered Investment Advisory firm - (3/28/2019 Terminated)

Texas

Registered Investment Advisory firm - (3/28/2019 Terminated)

Wisconsin

Registered Investment Advisory firm - (3/28/2019 Terminated)

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Contact information

Main Address

3418 Monroe Street, Madison, WI 53711

Mailing Address

Phone number

(608) 234-4127

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WALKNER CONDON FINANCIAL ADVISORS FORM ADV PART 2B FIRM BROCHURE (7/16/2025)

WALKNER CONDON FINANCIAL ADVISORS FORM ADV PART 2A FIRM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	2,556
AUM (Assets Under Management)	$ 732,818,029

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Andrew J. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew J Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

GATEWAY WEALTH PARTNERS, LLC

ADVISORS' PRIDE INC.

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

WALKNER CONDON FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/3/2015

SIE

Date: 10/1/2018

Series 7

Date: 10/9/2014

Current Firm

WALKNER CONDON FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WALKNER CONDON FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

Contact information

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