Joshua F. Kaye

KLINGMAN AND ASSOCIATES

New York, NY 10036

Some features on this profile are disabled

CRD#: 7230792

Professional summary

Joshua Fogel Kaye, who also goes by Josh Kaye, is a registered financial advisor currently at KLINGMAN AND ASSOCIATES, LLC located in New York, New York.

Joshua is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Joshua has worked at 1 firm and has passed the Series 65, Series 66 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Josh Kaye

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: 03/2020 Hours per month devoted to this business: 2 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 Joshua Fogel Kaye'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

August 4, 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".

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
(8/4/2021)

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 65

Date: 8/3/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/16/2019

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 7/11/2019

Securities Industry Essentials Examination

Current Firm

KLINGMAN AND ASSOCIATES, LLC

CRD#: 125618 / SEC#: 801-67783

RIA

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joshua F. Kaye

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Fogel Kaye's CRS (Customer Relationship Summary).

Certified licenses

Experience

KLINGMAN AND ASSOCIATES, LLC

Primary Firm SEC Registration

KLINGMAN AND ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/3/2021

Series 66

Date: 9/16/2019

SIE

Date: 7/11/2019

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

Similar Advisors