Robert E. Kloss

WNY ASSET MANAGEMENT

Orchard Park, NY 14127

Some features on this profile are disabled

CRD#: 1971601

Professional summary

Robert Elwood Kloss, CFP®, who also goes by Robert Elwood Kloss Jr, Robert Elwood Kloss Jr., is a registered financial advisor currently at WNY ASSET MANAGEMENT, LLC located in Orchard Park, New York and LPL FINANCIAL LLC located in Louisville, Tennessee.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Robert has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Aliases

Robert Elwood Kloss Jr | Robert Elwood Kloss Jr.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Elwood Kloss'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®

CFP^®

Certified Financial Planner

Start date: 1993

Experience

Current

December 18, 2020 - Present

WNY ASSET MANAGEMENT, LLC

Office #1: 6470 New Taylor Rd, Orchard Park, NY 14127

RIA

CRD#: 153872

Orchard Park, NY

Current

July 10, 2025 - Present

LPL FINANCIAL LLC

Office #2: 6470 New Taylor Road, Orchard Park, NY 14127

RIA

CRD#: 6413

LOUISVILLE, TN

Past

July 10, 2025 - July 13, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

May 4, 2021 - July 10, 2025

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Orchard Park, NY

Past

August 25, 2004 - July 10, 2025

CADARET, GRANT & CO., INC.

CRD#: 10641

Orchard Park, NY

Past

April 10, 2003 - September 2, 2004

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

February 14, 2002 - March 28, 2003

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

August 9, 2001 - February 21, 2002

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

December 10, 1996 - July 12, 2001

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

September 2, 1992 - December 31, 1994

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

February 20, 1990 - July 9, 1992

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

September 20, 1989 - November 9, 1989

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

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".

WNY ASSET MANAGEMENT, LLC

SPECTRUM WEALTH MANAGEMENT | WNY ASSET MANAGEMENT, LLC

CRD#: 153872 / SEC#: 801-71632

RIA

Registered Investment Advisory firm - (7/9/2010 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
(7/10/2025)

California
(7/10/2025)

Delaware
(7/10/2025)

Florida
(7/10/2025)

Illinois
(7/10/2025)

Indiana
(6/17/2026)

Massachusetts
(7/10/2025)

Nebraska
(2/2/2026)

Nevada
(7/10/2025)

New Hampshire
(7/10/2025)

New Jersey
(7/10/2025)

IAR

New York
(6/30/2021)

New York
(7/10/2025)

North Carolina
(8/8/2025)

Ohio
(7/10/2025)

Pennsylvania
(12/18/2025)

South Carolina
(7/10/2025)

South Dakota
(7/10/2025)

Tennessee
(7/10/2025)

IAR

Texas
(12/18/2020)

Texas
(11/4/2025)

Washington
(2/2/2026)

Wisconsin
(7/10/2025)

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

IAR

Series 65

Date: 8/21/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/20/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WNY ASSET MANAGEMENT, LLC

SPECTRUM WEALTH MANAGEMENT | WNY ASSET MANAGEMENT, LLC

CRD#: 153872 / SEC#: 801-71632

RIA

Registered Investment Advisory firm - (7/9/2010 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6500 Sheridan Drive, Suite 200, Williamsville, NY 14221

Mailing Address

Phone number

(716) 626-0060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/19/2026)

Regulatory assets under management

Total Number of Accounts	3,256
AUM (Assets Under Management)	$ 1,729,468,767

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.

Similar Advisors

Michael Gimlin

LPL FINANCIAL LLC

IAR

Williamsville, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Robert E. Kloss

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Elwood Kloss's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

SIGNATOR INVESTORS, INC.

OSAIC FS, INC.

SIGNATOR INVESTORS, INC.

AMERICAN CAPITAL CORPORATION

AMERICAN CAPITAL CORPORATION

LINCOLN FINANCIAL DISTRIBUTORS, INC.

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

WNY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/21/2001

Series 63

Date: 8/24/1989

SIE

Date: 10/1/2018

Series 7

Date: 9/16/1989

Series 24

Date: 5/20/2002

FINRA

Current Firm

WNY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WNY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors