JK
Jason S. Klein
CETERA INVESTMENT ADVISERS LLC
MARTINSVILLE, NJ 08836
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CRD#: 3137779
JK
Professional summary
Jason Scott Klein, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Martinsville, New Jersey and CETERA WEALTH SERVICES, LLC located in Parsippany, New Jersey.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Jason has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 55 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. ALLIED WEALTH PARTNERS POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 11/01/2012 ADDRESS: , Parsipanny NJ , United States DESCRIPTION: Agent/Broker; 2. NAME OF OTHER BUSINESS: TEMPLE SHALOM MEN'S CLUB; INVESTMENT RELATED: NO; ADDRESS: 594 N BRIDGE ST, BRIDGEWATER, NJ 08807; NATURE OF BUSINESS: MEN'S CLUB; START DATE: 8/2021; POSITION/TITLE/RELATIONSHIP: TREASURER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: HELP OVERSEE FINANCES OF MEN'S CLUB; 3. NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: 605 S ROSE ST, BALTIMORE, MD 21224; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 10/2012; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: RENT OUT THE PROPERTY TO TENANT;
CRS (Client Relationship Summary) - RIA
Click below to view Jason Scott 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®
CFP®
Start date: 2013
Experience
Current
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 792 Chimney Rock Rd St D, Martinsville, NJ 08836Office #2: 14 Walsh Dr Ste 100, Parsippany, NJ 07054RIA
CRD#: 105644
MARTINSVILLE, NJ
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 14 Walsh Drive Suite 100, Parsippany, NJ 07054Office #2: 792 Chimney Rock Road Suite D, Martinsville, NJ 08836BD
CRD#: 13572
Parsippany, NJ
Past
March 16, 2011 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
PARSIPPANY, NJ
Past
February 9, 2011 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
PARSIPPANY, NJ
Past
September 1, 2000 - November 30, 2000
UBS CAPITAL MARKETS L.P.
BD
CRD#: 2692
STAMFORD, CT
Past
January 1, 1999 - April 12, 1999
UBS CAPITAL MARKETS L.P.
BD
CRD#: 2692
STAMFORD, CT
Past
December 10, 1998 - August 31, 2000
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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
Arkansas(8/10/2023)
RR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Connecticut(11/28/2023)
RR
Florida(8/11/2023)
RR
Georgia(8/10/2023)
RR
Kansas(8/10/2023)
RR
Kentucky(8/10/2023)
RR
Maryland(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
Minnesota(9/5/2024)
RR
New Hampshire(8/10/2023)
RR
New Jersey(8/10/2023)
IAR
New Jersey(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
Ohio(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
Rhode Island(8/10/2023)
RR
South Carolina(9/29/2025)
RR
Tennessee(8/6/2024)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Vermont(8/10/2023)
RR
Virginia(8/10/2023)
RR
Wisconsin(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 12/4/1998
Limited Representative-Equity Trader ExamSRO 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.
