AR
Andrew T. Ryan
KLEIN PAVLIS & PEASLEY FINANCIAL
IRVINE, CA 92614
Some features on this profile are disabled
CRD#: 6915849
AR
Professional summary
Andrew Thomas Ryan, who also goes by Andrew Ryan, is a registered financial advisor currently at KLEIN PAVLIS & PEASLEY FINANCIAL, INC. located in Irvine, California.
Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Andrew has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew Ryan
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.
I*113182
FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: D1 BASKETBALL FUNDAMENTALS
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
ALISO VIEJO, CALIFORNIA 92656
NATURE OF BUSINESS: SOLE PROPRIETORSHIP,
POSITION, TITLE, ASSOCIATION: OWNER,
START DATE OF RELATIONSHIP: 5/10/2016
NUMBER OF HOURS DEVOTED: 270 HOUR(S) ANNUALLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0
DUTIES: TRAINING KIDS THE FUNDAMENTALS OF BASKETBALL. APPROXIMATELY 5 HOURS A WEEK OF TRAINING ACTIVITY.
I am a basketball coach for a local program Southern California.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Thomas Ryan's 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®
NoneExperience
Current
September 22, 2020 - Present
KLEIN PAVLIS & PEASLEY FINANCIAL, INC.
Office #1: 4 Park Plaza, Ste. 1010, Irvine, CA 92614RIA
CRD#: 112414
IRVINE, CA
Past
May 29, 2018 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LAGUNA NIGUEL, CA
Past
April 18, 2018 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LAGUNA NIGUEL, CA
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".
KP
KLEIN PAVLIS & PEASLEY FINANCIAL, INC.
INVESTTALK PODCAST | KPP FINANCIAL | KLEIN PAVLIS FINANCIAL INC | KLEIN PAVLIS & PEASLEY FINANCIAL, INC. | INVESTTALK YOUTUBE
CRD#: 112414 / SEC#: 801-121974
RIA
Registered Investment Advisory firm - (9/1/2021 Approved)Arizona
Registered Investment Advisory firm - (9/8/2021 Terminated)California
Registered Investment Advisory firm - (10/8/2021 Terminated)Illinois
Registered Investment Advisory firm - (9/8/2021 Terminated)Minnesota
Registered Investment Advisory firm - (9/21/2021 Terminated)New Jersey
Registered Investment Advisory firm - (9/8/2021 Terminated)New York
Registered Investment Advisory firm - (9/8/2021 Terminated)North Carolina
Registered Investment Advisory firm - (9/21/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/8/2021 Terminated)Texas
Registered Investment Advisory firm - (9/8/2021 Terminated)Washington
Registered Investment Advisory firm - (10/8/2021 Terminated)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
California(9/22/2020)
IAR
Texas(2/11/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
KP
KLEIN PAVLIS & PEASLEY FINANCIAL, INC.
INVESTTALK PODCAST | KPP FINANCIAL | KLEIN PAVLIS FINANCIAL INC | KLEIN PAVLIS & PEASLEY FINANCIAL, INC. | INVESTTALK YOUTUBE
CRD#: 112414 / SEC#: 801-121974
RIA
Registered Investment Advisory firm - (9/1/2021 Approved)Arizona
Registered Investment Advisory firm - (9/8/2021 Terminated)California
Registered Investment Advisory firm - (10/8/2021 Terminated)Illinois
Registered Investment Advisory firm - (9/8/2021 Terminated)Minnesota
Registered Investment Advisory firm - (9/21/2021 Terminated)New Jersey
Registered Investment Advisory firm - (9/8/2021 Terminated)New York
Registered Investment Advisory firm - (9/8/2021 Terminated)North Carolina
Registered Investment Advisory firm - (9/21/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/8/2021 Terminated)Texas
Registered Investment Advisory firm - (9/8/2021 Terminated)Washington
Registered Investment Advisory firm - (10/8/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4 Park Plaza, Ste. 1010, Irvine, CA 92614
Mailing Address
Phone number
(800) 557-5461
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 735 |
| AUM (Assets Under Management) | $ 184,892,109 |
Red Flags
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