JK
John J. Klumbach
CETERA INVESTMENT ADVISERS LLC
LAS VEGAS, NV 89117
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CRD#: 3024544
JK
Professional summary
John James Klumbach, CFP®, who also goes by John J Klumbach, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Las Vegas, Nevada and CETERA WEALTH SERVICES, LLC located in Las Vegas, Nevada.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. John has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John J Klumbach
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) LIONS DISRICT 46 FOUNDATION; TREASURER; I currently serve as the Treasurer of the Lions District 46 Foundation a 501C(3) organization.The purpose of the Foundation is to collect, distribute and responsibly manage funds for charitable uses by its members and other entities as approved by the Board of Directors.; NIR; 0; 01/01/2017; 7040 Laredo Street Las Vegas NV 89117; Receive checks and make deposits.Provide bookkeeping financials.File tax return for the entities.Pay expenses and write checks to other charities 2) JJ KLUMBACH CONSULTING INC dba KLUMBACH & ASOCIATES; PRESIDENT; Tax preparation of personal and business tax returns.� We also provide bookkeeping services for clients.; NIR; 50; 03/13/2001; 7040 Laredo Street Ste B Las Vegas NV 89117; 1) As the owner I provide general oversight of the business and its employees.2) As an enrolled agent I prepare income taxes return for clients.3) Responsible for hiring and firing employees.4) I maintain the books and records of the business as well as bank accounts.5) I file the federal tax return for the business as well as all local government requirements. 3) WEST CHARLESTON LIONS CLUB; TREASURER; I currently serve as the Treasurer for the West Charleston Lions Club a 501C(4) organization.; NIR; 0; 01/01/2017; 7040 Laredo Street Ste B Las Vegas NV 89117; Receive checks and make deposits.Provide bookkeeping financials.File tax return for the entities.Pay expenses and write checks to other charities 4) WEST CHARELSTON LIONS CLUB FOUNDATION; TREASURER; I currently serve as the Treasurer of the�West Charleston Lion Club Foundation.� The purpose of the Foundation is to collect, distribute and responsibly manage funds for charitable uses by it members and other entities as approved by the Board of Directors.Our main fundraising event is our All-Star Football Game currently in its 49th year.� Proceeds from the game go to the Blind Center of Nevada, the Lions Burn Care Center at UMC, NV Childhood Cancer Foundation and Lions Camps for kids.; NIR; 2; 01/01/2017; 7040 Laredo Street Las Vegas NV 89117; Receive checks and make deposits.Provide bookkeeping financials.File tax return for the entities.Pay expenses and write checks to other charities
CRS (Client Relationship Summary) - RIA
Click below to view John James Klumbach'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®
CFP®
Start date: 2009
Experience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7040 Laredo Street Suite B, Las Vegas, NV 89117RIA
CRD#: 105644
LAS VEGAS, NV
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7040 Laredo Street Suite B, Las Vegas, NV 89117BD
CRD#: 13572
Las Vegas, NV
Past
February 4, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Las Vegas, NV
Past
January 28, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Las Vegas, NV
Past
November 15, 2010 - February 11, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAS VEGAS, NV
Past
November 15, 2010 - February 11, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
LAS VEGAS, NV
Past
January 4, 2007 - December 13, 2010
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
LASVEGAS, NV
Past
November 29, 2006 - November 22, 2010
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
LAS VEGAS, NV
Past
October 3, 2003 - December 4, 2006
OSAIC WEALTH, INC.
RIA
CRD#: 23131
LAS VEGAS, NV
Past
December 2, 2002 - December 4, 2006
OSAIC WEALTH, INC.
BD
CRD#: 23131
LAS VEGAS, NV
Past
January 24, 2001 - December 2, 2002
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
POUGHKEEPSIE, NY
Past
March 18, 1998 - March 15, 2000
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
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".
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
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Florida(9/5/2025)
RR
Massachusetts(9/5/2025)
RR
Nevada(9/5/2025)
IAR
Nevada(9/5/2025)
RR
New York(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law 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.
