Daniel S. Klein

CETERA INVESTMENT ADVISERS LLC

WOODLAND HILLS, CA 91367

Some features on this profile are disabled

CRD#: 2901933

Professional summary

Daniel Stewart Klein, who also goes by Daniel S Klein, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Woodland Hills, California and CETERA ADVISORS LLC located in Woodland Hills, California.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Daniel has worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel S Klein

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. KLEIN WEALTH MANAGEMENT DBA,SECURITIES BUSINESS, SAME ADDRESS AS OFFICE. 2.L.A. POLICE DEPARTMENT, FINANCIAL COUNSELING TEAM MEMBER,START 01/01/09, 5HR/WK. 3. 21ST AREA BOOSTERS, TOPANGA BOOSTERS, START 01/01/10, TREASURER, 10HR/WK. 4.NAME OF OTHER BUSINESS: N/A - LEASING OFFICE SPACE INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED NATURE OF BUSINESS: LEASING OFFICE SPACE START DATE: 02/01/2016 POSITION/TITLE/RELATIONSHIP: OWNER OF THE OFFICE SUITE APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: LEASING AN UNUSED SEPARATE OFFICE WITHIN MY SUITE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Stewart 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

March 21, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 6016 Fallbrook Ave Ste 203, Woodland Hills, CA 91367

RIA

CRD#: 105644

WOODLAND HILLS, CA

Current

February 28, 2012 - Present

CETERA ADVISORS LLC

Office #1: 6016 Fallbrook Ave Ste 203, Woodland Hills, CA 91367

CRD#: 10299

Woodland Hills, CA

Past

February 28, 2012 - March 21, 2024

CETERA ADVISORS LLC

RIA

CRD#: 10299

GREENWOOD VILLAGE, IL

Past

September 3, 2010 - February 28, 2012

PACIFIC WEST FINANCIAL CONSULTANTS INC

RIA

CRD#: 108728

RENTON, WA

Past

September 3, 2010 - February 28, 2012

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

WOODLAND HILLS, CA

Past

January 17, 2008 - September 16, 2010

CROWELL, WEEDON & CO.

RIA

CRD#: 193

ENCINO, CA

Past

July 24, 2007 - September 16, 2010

CROWELL, WEEDON & CO.

CRD#: 193

ENCINO, CA

Past

October 5, 2004 - October 8, 2007

PRIVATE ASSET MANAGEMENT INC

RIA

CRD#: 106598

SAN DIEGO, CA

Past

December 10, 1998 - October 13, 2004

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

WOODLAND HILLS, CA

Past

April 2, 1998 - October 13, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

November 25, 1997 - March 10, 1998

FIMCO SECURITIES GROUP, INC.

CRD#: 30343

PORT WASHINGTON, WI

Past

July 11, 1997 - October 8, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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

California
(2/28/2012)

IAR

California
(3/21/2024)

Missouri
(7/15/2020)

Washington
(3/15/2013)

Wisconsin
(3/18/2025)

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 66

Date: 7/31/2007

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/8/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/1997

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: 7/23/2007

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

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

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

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.

Similar Advisors

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

Natalia Avila

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

SANTA CLARITA, CA

John Powell

EQUITABLE ADVISORS, LLC

IAR

Los Angeles, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Daniel S. Klein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Stewart Klein's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

PACIFIC WEST FINANCIAL CONSULTANTS INC

PACIFIC WEST SECURITIES, INC.

CROWELL, WEEDON & CO.

CROWELL, WEEDON & CO.

PRIVATE ASSET MANAGEMENT INC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FIMCO SECURITIES GROUP, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/31/2007

Series 65

Date: 8/8/1997

Series 63

Date: 7/25/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/23/2007

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

Similar Advisors