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Thomas Joseph Klingman

Klingman AND Associates, LLC

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About Thomas Joseph Klingman

Thomas Joseph Klingman is a financial advisor with Klingman And Associates, LLC in NEW YORK, NY. Thomas has been in the industry since 2010. Thomas is registered as a Registered Investment Advisor in New York and Texas. Thomas has been employed by Klingman And Associates, LLC since 2012. Prior to that, Thomas worked at RAYMOND JAMES FINANCIAL SERVICES, INC. Thomas is a Series 63, SIE, Series 7, and Series 79 licensed representative. Thomas provides financial planning, portfolio management for individuals, and general consulting services to clients.

Firm Information

Thomas Klingman is currently registered with Klingman AND Associates, LLC. Klingman AND Associates, LLC is an investment advisor headquartered in NEW YORK, NY. They provide financial planning and portfolio management services to individuals, high-net-worth individuals, charitable organizations, pension and profit-sharing plans, and individuals other than high-net-worth. They have $3,276,784,099 in regulatory assets under management.
Klingman AND Associates, LLC

120 WEST 45TH STREET

NEW YORK, NY 10036

$3.28B

Assets Under Management

3

Total Clients

7

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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general consulting services

General consulting services

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Klingman’s Registration & Firm History

NY

11/29/2021 - Present

Klingman AND Associates, LLC (NEW YORK NY)

NY

12/15/2014 - 07/10/2020

RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW YORK NY)

NY

07/23/2012 - 04/01/2014

RAYMOND JAMES FINANCIAL SERVICES, INC. (NEW YORK NY)

NY

09/10/2010 - 07/25/2012

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/01/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/15/2014

Series 7 - General Securities Representative Examination

BC

Issued 09/09/2010

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Thomas Joseph Klingman.
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