Paul D. Klein

CETERA INVESTMENT ADVISERS LLC

EDINA, MN 55439

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CRD#: 1019759

Professional summary

Paul Douglas Klein is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Edina, Minnesota and CETERA ADVISORS LLC located in Edina, Minnesota.

Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Paul has worked at 9 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.) 1ST THINGS 1ST; BASSIST; ENTERTAINER; START DATE 05/01/2011 2.) PAUL KLEIN; AGENT; INSURANCE; START DATE 3/6/2008 3.) PAUL KLEIN; SOLE PROPRIETOR; NON-CPA ACCOUNTING OR TAX PREP; START DATE 01/01/2002 4.) FINANCIAL STRATEGIES GROUP; DBA; START DATE 03/06/2008 5.) SAINT LUKES LUTHERAN CHURCH; VOLUNTEER CHURCH PRESIDENT; NON-PROFIT ORGANIZATION; START DATE 02/01/2021; 8 HOURS PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Douglas Klein's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 12, 2020 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 7400 Metro Blvd Ste. 140, Edina, MN 55439

RIA

CRD#: 105644

EDINA, MN

Current

September 8, 2022 - Present

CETERA ADVISORS LLC

Office #1: 7400 Metro Boulevard Suite 140, Edina, MN 55439

CRD#: 10299

EDINA, MN

Past

March 3, 2010 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

EDINA, MN

Past

May 30, 2008 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

EDINA, MN

Past

March 12, 2004 - May 30, 2008

FFP SECURITIES, INC.

CRD#: 16337

EDINA, MN

Past

June 5, 1991 - March 15, 2004

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

September 21, 1988 - March 15, 2004

CRI SECURITIES, LLC

CRD#: 22589

ST. PAUL, MN

Past

August 4, 1983 - September 21, 1988

CONSOLIDATED RESOURCES, INC.

CRD#: 13747

Past

December 22, 1981 - August 3, 1983

IRG SECURITIES, INC.

CRD#: 4182

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(9/8/2022)

Arkansas
(9/8/2022)

California
(9/8/2022)

Colorado
(1/15/2025)

Florida
(9/8/2022)

Georgia
(9/8/2022)

Idaho
(9/8/2022)

Illinois
(5/15/2025)

Indiana
(9/8/2022)

IAR

Minnesota
(11/12/2020)

Minnesota
(9/8/2022)

North Dakota
(9/21/2023)

Ohio
(10/24/2025)

South Carolina
(9/8/2022)

Wisconsin
(9/8/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/8/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/1981

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Paul D. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Douglas Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FFP SECURITIES, INC.

SECURIAN FINANCIAL SERVICES, INC.

CRI SECURITIES, LLC

CONSOLIDATED RESOURCES, INC.

IRG SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/8/1980

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/21/1981

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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