RK
Ruth R. Kline
CETERA INVESTMENT ADVISERS LLC
CHICAGO, IL 60606
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CRD#: 4631234
RK
Professional summary
Ruth Romaine Kline is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Chicago, Illinois and CETERA WEALTH SERVICES, LLC located in Chicago, Illinois.
Ruth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Ruth has worked at 3 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: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 6/2020; APX NUMBER OF HOURS PER WEEK: 32; APX NUMBER OF HOURS DURING TRADING HOURS: 32; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, AND LONG TERM CARE; 2. CORNELIA PLACE CONDO ASSOCIATION, CHICAGO, IL, PRESIDENT OF BOARD, 4 HOURS PER WEEK. 3. NAME OF OTHER BUSINESS: WILLIS TOWERS WATSON NORTHEAST; INVESTMENT RELATED: YES; ADDRESS: 233 S. WACKER DRIVE SUITE 1800 CHICAGO, IL 60606; NATURE OF BUSINESS: INSURANCE BROKERAGE; START DATE: 1/2020 POSITION/TITLE/RELATIONSHIP: ASSOCIATE DIRECTOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DESIGN, MKT,IMPLEMENT EXE BENEFIT PLANS TO INCL LIFE, DISABILITY AND LONG-TERM CARE INS; 4. NAME OF OTHER BUSINESS: FITNESS FORMULA CLUB; INVESTMENT RELATED: NO; ADDRESS: 3657 N. PINE GROVE CHICAGO IL 60606; NATURE OF BUSINESS: FITNESS INSTRUCTOR; START DATE: 4/2019; POSITION/TITLE/RELATIONSHIP: PILATES INSTRUCTOR; APX NUMBER OF HOURS PER WEEK: 8; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: TEACH PILATES, PROSPECT NEW CLIENTS AND SERVICE CURRENT CLIENTS; 5. NAME OF OTHER BUSINESS: JT FITNESS LLC DBA JT TRAINING STUDIO INVESTMENT RELATED: NO; ADDRESS: 1124 W. WILSON AVE, CHICAGO, IL 60640; NATURE OF BUSINESS: LLC; START DATE: 1/2023; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NO FORMAL RESPONSIBILITIES;
CRS (Client Relationship Summary) - RIA
Click below to view Ruth Romaine Kline'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®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 233 S Waker Dr Ste 1800, Chicago, IL 60606RIA
CRD#: 105644
CHICAGO, IL
Current
December 8, 2005 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 233 S Wacker Dr Ste 1800, Chicago, IL 60606BD
CRD#: 13572
Chicago, IL
Past
November 9, 2017 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CHICAGO, IL
Past
September 25, 2003 - December 7, 2005
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
CHICAGO, IL
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
California(12/8/2005)
RR
Colorado(6/16/2016)
RR
Connecticut(2/21/2018)
RR
Delaware(4/23/2014)
RR
District of Columbia(1/2/2019)
RR
Florida(8/23/2019)
RR
Georgia(12/18/2017)
RR
Hawaii(3/5/2020)
RR
Illinois(12/8/2005)
IAR
Illinois(6/29/2023)
RR
Maryland(6/20/2017)
RR
Massachusetts(1/2/2019)
RR
Michigan(8/7/2020)
RR
Minnesota(12/8/2005)
RR
Missouri(3/26/2019)
RR
New Jersey(1/2/2019)
RR
New York(1/8/2018)
RR
North Carolina(1/2/2019)
RR
Ohio(1/3/2019)
RR
Oregon(4/19/2017)
RR
Pennsylvania(5/3/2018)
RR
South Carolina(1/2/2019)
RR
Texas(5/8/2019)
IAR
Texas(6/29/2023)
RR
Utah(6/16/2016)
RR
Virginia(6/16/2016)
RR
Wisconsin(5/1/2018)
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.
