CK
Cody M. Klein
SAGEVIEW ADVISORY GROUP
Westlake Village, CA 91361
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CRD#: 6115452
CK
Professional summary
Cody Matthew Klein, AIF® is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Westlake Village, California and CETERA WEALTH SERVICES, LLC located in Clearwater, Florida.
Cody is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Cody has worked at 5 firms and has passed the Series 66, SIE and Series 7 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: SAGEVIEW ADVISORY GROUP LLC, CRD # 126777, INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY POSITION/TITLE/RELATIONSHIP: FINANCIAL PLANNING AND ADVISORY SERVICES FOR CLIENT START DATE: 05/2022 APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 25 BRIEF DESCRIPTION OF DUTIES: OFFER ADVISORY SERVICES TO MY CLIENTS IN MY CAPACITY AS AN ADVISOR; 2. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 07/2018 APX NUMBER OF HOURS PER WEEK: 4 APX NUMBER OF HOURS DURING TRADING HOURS: 3 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG-TERM CARE;
CRS (Client Relationship Summary) - RIA
Click below to view Cody Matthew 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
June 17, 2022 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 3027 Townsgate Road Suite 100, Westlake Village, CA 91361RIA
CRD#: 126777
Westlake Village, CA
Current
June 15, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 3027 Townsgate Road, Suite 250, Westlake Village, CA 91361BD
CRD#: 13572
CLEARWATER, FL
Past
June 28, 2016 - December 22, 2022
SUMMIT FINANCIAL CONSULTANTS, INC.
RIA
CRD#: 134192
Clearwater, FL
Past
March 19, 2015 - June 30, 2022
TRIAD ADVISORS LLC
BD
CRD#: 25803
Westlake Village, CA
Past
February 25, 2015 - March 9, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTLAKE VILLAGE, CA
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)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(3/2/2023)
RR
California(6/15/2022)
IAR
California(6/17/2022)
RR
Connecticut(3/2/2023)
RR
Florida(6/15/2022)
IAR
Florida(3/23/2023)
RR
Georgia(3/2/2023)
RR
Hawaii(11/25/2024)
RR
Idaho(3/2/2023)
RR
Illinois(9/13/2022)
RR
Iowa(3/2/2023)
RR
Kentucky(11/25/2024)
RR
Massachusetts(3/2/2023)
RR
Michigan(3/2/2023)
RR
Minnesota(3/2/2023)
RR
Nevada(3/2/2023)
RR
New Jersey(3/2/2023)
RR
New Mexico(3/2/2023)
RR
New York(3/2/2023)
RR
North Carolina(3/2/2023)
RR
Ohio(3/2/2023)
RR
South Carolina(8/31/2023)
RR
Virginia(3/2/2023)
RR
Washington(3/14/2023)
RR
Wyoming(3/2/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SAGEVIEW ADVISORY GROUP, LLC
CRD#: 126777Westlake Village, CA 91361TRUST BUT VERIFY
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