Daniel Stewart Klein

Current Employers

Employment History

• 01/2013 → Present
  Cetera Advisors Llc
  Denver, CO
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2010-09-03 → 2012-02-28
  Pacific West Financial Consultants Inc
  Renton, WA
• 2008-01-17 → 2010-09-16
  Crowell, Weedon & Co.
  Encino, CA
• 2004-10-05 → 2007-10-08
  Private Asset Management Inc
  San Diego, CA
• 1998-12-10 → 2004-10-13
  Charles Schwab & Co., Inc.
  Woodland Hills, CA

Other Businesses

1. KLEIN WEALTH MANAGEMENT DBA,SECURITIES BUSINESS, SAME ADDRESS AS OFFICE. 2.L.A. POLICE DEPARTMENT, FINANCIAL COUNSELING TEAM MEMBER,START 01/01/09, 5HR/WK. 3. 21ST AREA BOOSTERS, TOPANGA BOOSTERS, START 01/01/10, TREASURER, 10HR/WK. 4.NAME OF OTHER BUSINESS: N/A - LEASING OFFICE SPACE INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED NATURE OF BUSINESS: LEASING OFFICE SPACE START DATE: 02/01/2016 POSITION/TITLE/RELATIONSHIP: OWNER OF THE OFFICE SUITE APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: LEASING AN UNUSED SEPARATE OFFICE WITHIN MY SUITE. NAME OF OTHER BUSINESS: CIF, PONY, USSSA, LITTLE LEAGUE BASEBALL INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: TO OFFICIATE MAINLY YOUTH BASEBALL GAMES START DATE: 03/01/2009 POSITION/TITLE/RELATIONSHIP: SPORTS OFFICIAL APX NUMBER OF HOURS PER WEEK: 15 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: UMPIRE, TO OFFICIATE MAINLY YOUTH BASEBALL GAMES

Exams

• S66 Uniform Combined State Law Examination
  2007-07-31
• S65 Uniform Investment Adviser Law Examination
  1997-08-08
• S63 Uniform Securities Agent State Law Examination
  1997-07-25

Other Names

• Daniel S Klein