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Allen Robert Klee

Maxim Group LLC

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About Allen Robert Klee

Allen Klee is a financial advisor with Maxim Group LLC in New York, NY. Allen has been a financial advisor for over 10 years and has experience with securities, investment banking, and trading. Allen has earned the Series 63, SIE, Series 87, Series 86, Series 7, and Series 56 licenses, and has been registered in the state of New York. Prior to joining Maxim Group LLC, Allen worked at National Securities Corporation, Maxim Group LLC, Sidoti & Company, LLC and Avatar Securities, LLC.

Firm Information

Allen Klee is currently registered with Maxim Group LLC. Maxim Group LLC is a Limited Liability Company formed in April 2002 and is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been approved for one SEC registration and 53 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

70

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Allen Klee’s Registration & Firm History

NY

01/04/2021 - Present

Maxim Group LLC (NEW YORK NY)

NY

10/01/2019 - 01/20/2021

NATIONAL SECURITIES CORPORATION (NEW YORK NY)

NY

05/11/2018 - 10/23/2019

MAXIM GROUP LLC (NEW YORK NY)

NY

06/18/2014 - 05/08/2018

SIDOTI & COMPANY, LLC (NEW YORK NY)

NY

04/26/2013 - 02/20/2014

AVATAR SECURITIES, LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/28/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/15/2014

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 07/03/2014

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 06/18/2014

Series 7 - General Securities Representative Examination

BC

Issued 04/25/2013

Series 56 - Proprietary Trader Qualification Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Allen Robert Klee.
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