Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Andrew Thomas Ryan
Andrew Ryan
CRD#: 6915849
IA
Investment Adviser
B
Previous Broker
KLEIN PAVLIS & PEASLEY FINANCIAL, INC.CRD#: 112414 4 PARK PLAZA, STE. 1010
IRVINE, CA 92614
Registration History
2018201920202021202220232024202520262 FIRMS2018 - 2019 (1 year)IAKLEIN PAVLIS & PEASLEY FINANCI... (CRD# 112414)2020 - Present (4 years)
License(s)

State Registrations

IA
California 9/22/2020
IA
Texas 2/11/2025
Current Registration(s)
IA
KLEIN PAVLIS & PEASLEY FINANCIAL, INC. (CRD#:112414)
4 PARK PLAZA, STE. 1010, IRVINE, CA 92614
Registered with this firm since 9/22/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/29/2018 - 05/10/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LAGUNA NIGUEL, CA
B
 04/18/2018 - 05/10/2019 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LAGUNA NIGUEL, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.