DK
Donald O. Kluge
CETERA INVESTMENT ADVISERS LLC
PLEASANTVILLE, NY 10570
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CRD#: 1607746
DK
Professional summary
Donald Otto Kluge is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pleasantville, New York and CETERA FINANCIAL SPECIALISTS LLC located in Pleasantville, New York.
Donald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Donald has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) SELL HEALTH INSURANCE, OWNER, SINCE 06/2007, 1-2H/WK: 2) THE KLUGE FINANCIAL GROUP LLC; FINANCIAL SERVICES, TAX & ACCOUNTING PRACTICE; SALES AND SERVICE; OWNER; START DATE 1/1/87; 20 HRS/WK; DBA FOR INVESTMENT PRACTICE - INV RELATED: 3)WILTON REASSURANCE LIFE COMPANY OF NY, INVESTMENT-RELATED, SAME ADDRESS AS REGISTERED LOCATION, SERVICING AGENT FOR FIXED ANNUITY CONTRACT, START DATE 10/28/2013 4) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 02/2023 APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 2, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS HEALTH, DISABILITY, DENTAL, VISION, GROUP HEALTH, MEDICARE SUPPLEMENT & ADVANTAGE PLANS
CRS (Client Relationship Summary) - RIA
Click below to view Donald Otto Kluge's 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®
NoneExperience
Current
January 6, 2015 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 520 Bedford Road, Pleasantville, NY 10570RIA
CRD#: 105644
PLEASANTVILLE, NY
Current
October 24, 2005 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 520 Bedford Road, Pleasantville, NY 10570BD
CRD#: 10358
Pleasantville, NY
Past
October 24, 2005 - December 31, 2014
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
PLEASANTVILLE, NY
Past
August 25, 2004 - October 24, 2005
C.J.M. ASSET MANAGEMENT, LLC
RIA
CRD#: 111302
POMPTON LAKES, NJ
Past
June 4, 2004 - October 24, 2005
C. J. M. PLANNING CORP.
BD
CRD#: 5698
POMPTON LAKES, NJ
Past
January 7, 1987 - June 10, 2004
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Alaska(9/14/2021)
RR
Arizona(5/25/2022)
RR
California(1/4/2016)
RR
Colorado(1/2/2015)
RR
Connecticut(1/23/2015)
RR
Delaware(10/24/2017)
RR
Florida(10/24/2005)
RR
Georgia(1/2/2014)
RR
Illinois(6/16/2023)
RR
Louisiana(1/3/2023)
RR
Maine(6/16/2023)
RR
Maryland(9/14/2021)
RR
Massachusetts(1/2/2015)
RR
Michigan(9/14/2021)
RR
New Hampshire(11/8/2022)
RR
New Jersey(10/24/2005)
RR
New York(10/24/2005)
IAR
New York(3/31/2021)
RR
North Carolina(1/3/2023)
RR
Ohio(2/28/2012)
RR
Pennsylvania(9/14/2021)
RR
South Carolina(1/2/2008)
RR
Tennessee(10/21/2025)
RR
Texas(7/29/2022)
IAR
Texas(7/31/2022)
RR
Virginia(10/24/2005)
RR
Washington(6/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
