DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Andrew Kaye Klinger
Feed of 09/15/2026
Also filed as Andrew K Klinger
At current firm
6 y
since Sep 18, 2020
In the industry
36 y
since Mar 20, 1990 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Stifel, Nicolaus & Company, Incorporated national BD currentsince Sep 18, 2020 · New York, Ny
- Benjamin F. Edwards & Company, Incorporated BD affiliatedMar 4, 2019 to Sep 17, 2020 · St. Louis, Mo
- Huntington Financial Advisors BD affiliatedNov 7, 2011 to Mar 4, 2019 · Columbus, Oh
- UBS Financial Services Inc. wirehouseFeb 9, 2007 to May 11, 2009 · New Albany, Oh
- Keybanc Capital Markets Inc. unclassifiedJun 6, 2005 to Feb 9, 2007 · New Albany, Oh
- Wells Fargo Advisors wirehouseJun 25, 2003 to Jun 7, 2005 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- Benjamin F. Edwards & Company, Incorporated to Stifel, Nicolaus & Company, Incorporatedleft Sep 17, 2020, registered Sep 18, 2020 (1 days) · Affiliated broker-dealer or bank to another
- Huntington Financial Advisors to Benjamin F. Edwards & Company, Incorporatedleft Mar 4, 2019, registered Mar 4, 2019 (0 days) · Affiliated broker-dealer or bank to another
- UBS Financial Services Inc. to Huntington Financial Advisorsleft May 11, 2009, registered Nov 7, 2011 (910 days) · Other
- Keybanc Capital Markets Inc. to UBS Financial Services Inc.left Feb 9, 2007, registered Feb 9, 2007 (0 days) · corporate re-registration, not a move
- Wells Fargo Advisors to Keybanc Capital Markets Inc.left Jun 7, 2005, registered Jun 6, 2005 (-1 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address