RK
Robert A. Klein
CETERA INVESTMENT ADVISERS LLC
WHITE PLAINS, NY
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CRD#: 3111450
RK
Professional summary
Robert Allen Klein, AIF®, who also goes by Bob Klein, Rob Klein, Robert Klein, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in White Plains, New York and CETERA ADVISORS LLC located in White Plains, New York.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Klein | Rob Klein | Robert 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. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FIXED INSURANCE, INSURANCE AGENT, APX NUMBER OF HOURS PER WEEK: VARIES, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, SELLS LIFE, DISABILITY, HEALTH, ANNUITIES, ALONG TERM CARE, AND MEDICARE SUPPLEMENT PLANS.
2. THE ARDMORE GROUP, NOT INVESTMENT RELATED, SAME AS REGISTERED LOCATION, TAX PREP, STARTED 3/2004, OWNER, APX HOURS PER WEEK - VARIES, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: INCOME TAX PREPARATION.
3. FM HOME LOANS, NOT INVESTMENT RELATED, 145 EAST 57TH ST, 6TH FLOOR, NEW YORK, NY 10002, MORTGAGES, STARTED 1/2014, AGENT, APX 5 HOURS PER WEEK, MAY BE DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: OFFER MORTGAGE LOANS.
4. INERTIA ADVISOR SERVICES GROUP, INVESTMENT RELATED, SAME AS REGISTERED LOCATION, FINANCIAL SERVICES, STARTED 1/2013, STRATEGIST, APX NUMBER OF HOURS PER WEEK: 15, MAY BE DURING TRADING HOURS BRIEF DESCRIPTION OF DUTIES: LONG TERM CARE PLANNING AND MEDICARE PLANNING.
5. JESTER FINANCIAL TECHNOLOGIES, NOT INVESTMENT RELATED, 50 DUNHAM RD, SUITE 4000, BEVERLY, MA, 01915, HEATH CARE EXPENSE FORECASTING, STARTED 1/2009, PARTNER, APX 5 HOURS PER WEEK, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: HEALTH COST FORECASTING.
6. NAME OF OTHER BUSINESS: CENTRAL WESTCHESTER GERIATRIC COMMITTEE;
INVESTMENT RELATED: NO;
ADDRESS: 9 SAXON WOOD RD, SCARSDALE, NY 10583;
NATURE OF BUSINESS: NETWORKING GROUP FOR THOSE WHO WORK WITH SENIORS;
START DATE: 11/2018;
POSITION/TITLE/RELATIONSHIP: MEMBER;
APX NUMBER OF HOURS PER WEEK: LESS THAN 1;
APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1;
BRIEF DESCRIPTION OF DUTIES: SHOW UP TO NETWORKING MEETINGS;
7. NAME OF OTHER BUSINESS: NATIONAL ASSOCIATION OF SENIOR ADVOCATES;
INVESTMENT RELATED: NO;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: NETWORKING GROUP FOR THOSE WHO WORK WITH SENIORS;
START DATE: 12/2018;
POSITION/TITLE/RELATIONSHIP: MEMBER;
APX NUMBER OF HOURS PER WEEK: 0-2;
APX NUMBER OF HOURS DURING TRADING HOURS: 0-2;
BRIEF DESCRIPTION OF DUTIES: NETWORKING, SENIOR ADVOCACY;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Allen Klein'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
WHITE PLAINS, NY
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
BD
CRD#: 10299
White Plains, NY
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
March 15, 2005 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
WHITE PLAINS, NY
Past
March 30, 2004 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
WHITE PLAINS, NY
Past
April 29, 2002 - April 7, 2004
RYAN BECK & CO.
BD
CRD#: 3248
FLORHAM PARK, NJ
Past
December 1, 1999 - May 13, 2002
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
September 10, 1998 - December 23, 1999
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
September 10, 1998 - December 23, 1999
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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
Connecticut(10/3/2016)
RR
Florida(10/3/2016)
RR
Massachusetts(1/16/2025)
RR
New Jersey(10/3/2016)
RR
New York(10/3/2016)
IAR
New York(3/21/2024)
RR
North Carolina(1/4/2023)
RR
Pennsylvania(10/3/2016)
RR
South Carolina(7/25/2018)
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
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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.
