Andrew Klein, financial advisor Denver CO
83 score

Andrew Klein

CRD Number: 1308591
Current Firm: Waddell & Reed

Andrew Klein (CRD# 1308591) is an Investment Advisor Representative working at Waddell & Reed in Denver, CO and has over 31 years of experience in the finance industry.

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Company Name Location Dates Years
Waddell & Reed, Inc. Denver, CO Jun 2009 - Current 7
Various Insurance Carriers For W&r Insurance Agencies Denver, CO Jun 2009 - Current 7
Smith Barney/citigroup Global Markets Denver, CO May 1989 - Jun 2009 20
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1985
S66 NASAA Uniform Combined State Law Examination May 2001
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Andrew A. Klein
Phone Number: 913-236-2000
Firm Website: http://www.waddell.com
Registered State(s):
  • CA
  • CO
  • CT
  • FL
  • IL
  • MD
  • NV
  • NJ
  • VA
  • WI
  • WV
  • KS
  • MN
  • PA
By the Numbers
  • Total Assets Under Management
    18,309
    MILLIONS
  • Total Number of Accounts
    149,599
    ACCOUNTS
  • Average Account Value
    $122,387
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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