Robert Allen Klein

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2004 → 10/2016
  Investors Capital Corporation
  Lynnfield, MA
• 04/2004 → Present
  The Ardmore Group
  White Plains, NY
• 10/2016 → Present
  Cetera Advisors Llc
  Denver, CO
• 01/2004 → Present
  Fm Home Loans
  New York, NY
• 01/2013 → Present
  Inertia Advisor Services Group
  White Plains, NY
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2005-03-15 → 2016-10-03
  Investors Capital Corp.
  Lynnfield, MA
  Freeport, NY
  White Plans, NY
  White Plains, NY
  White Plains, NY
  Lynnfield, MA

Other Businesses

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;

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-03-14
• S63 Uniform Securities Agent State Law Examination
  1998-09-23

Other Names

• Rob Klein
• Bob Klein
• Robert Klein