KS
Keith A. Small
CETERA INVESTMENT ADVISERS LLC
PLEASANTVILLE, NY 10570
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CRD#: 3013759
KS
Professional summary
Keith Arthur Small, AIF®, CIMA® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pleasantville, New York and CETERA FINANCIAL SPECIALISTS LLC located in Yonkers, New York.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Keith has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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) NAME OF OTHER BUSINESS: KEITH SMALL; INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 2/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: RENTAL OF CONDO; 2) NAME OF OTHER BUSINESS: KLUGE FIANANCIAL GROUP, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS:FINANCIAL SERVICES; START DATE: 4/2022; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) 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, DENTAL, VISION, GROUP HEALTH, MEDICARE SUPPLEMENT & ADVANTAGE PLANS; 4) NAME OF OTHER BUSINESS: DONALD KLUGE & COMPANY, INC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 06/2024, POSITION/TITLE/RELATIONSHIP: ENROLLED AGENT, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: ACCOUNTING AND TAX PREPARATION;
CRS (Client Relationship Summary) - RIA
Click below to view Keith Arthur Small'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®
Experience
Current
January 4, 2010 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 520 Bedford Road, Pleasantville, NY 10570Office #3: 211-08 35 Avenue, Bayside, NY 11361RIA
CRD#: 105644
PLEASANTVILLE, NY
Current
June 22, 2009 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #2: 520 Bedford Road, Pleasantville, NY 10570BD
CRD#: 10358
YONKERS, NY
Past
April 24, 2015 - January 25, 2016
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
Schaumburg, IL
Past
September 28, 2009 - December 31, 2009
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SCHAUMBURG, IL
Past
October 6, 2003 - February 3, 2009
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
BD
CRD#: 7834
NEW YORK, NY
Past
May 31, 2000 - June 19, 2003
MFS FUND DISTRIBUTORS, INC.
BD
CRD#: 31052
BOSTON, MA
Past
September 16, 1998 - May 24, 2000
EATON VANCE DISTRIBUTORS, INC.
BD
CRD#: 37731
BOSTON, MA
Past
August 4, 1998 - August 26, 1998
FIS SECURITIES, INC.
BD
CRD#: 30533
BOSTON, MA
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(6/24/2022)
RR
Arizona(3/21/2022)
RR
California(3/21/2022)
RR
Colorado(3/21/2022)
RR
Connecticut(6/22/2009)
RR
Delaware(3/21/2022)
RR
Florida(8/1/2013)
RR
Georgia(3/21/2022)
RR
Illinois(6/16/2023)
RR
Louisiana(1/3/2023)
RR
Maine(6/16/2023)
RR
Maryland(3/21/2022)
RR
Massachusetts(6/22/2009)
RR
Michigan(3/21/2022)
RR
Mississippi(6/27/2024)
RR
Nevada(3/21/2022)
RR
New Hampshire(6/22/2009)
RR
New Jersey(6/22/2009)
RR
New York(6/22/2009)
IAR
New York(9/22/2022)
RR
North Carolina(8/30/2022)
RR
North Dakota(1/3/2023)
RR
Ohio(3/22/2022)
RR
Pennsylvania(3/21/2022)
RR
Rhode Island(4/4/2025)
RR
South Carolina(1/17/2013)
RR
Tennessee(8/25/2023)
RR
Texas(3/21/2022)
IAR
Texas(3/21/2022)
RR
Utah(6/25/2024)
RR
Virginia(3/21/2022)
RR
Washington(5/20/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
