Keith Arthur Small

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

• 06/2009 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 01/2014 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 04/2022 → Present
  Kluge Fianancial Group, Llc
  Pleasantville, NY

Previous Registrations

• 2009-09-28 → 2009-12-31
  Cetera Investment Advisers Llc
  Schaumburg, IL

Other Businesses

1) NAME OF OTHER BUSINESS: KEITH SMALL; INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION; NATURE OF BUSINESS: RENTAL PROPERTY; START DATE: 2/2022; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: RENTAL OF CONDO; 2) NAME OF OTHER BUSINESS: KLUGE FIANANCIAL GROUP, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS:FINANCIAL SERVICES; START DATE: 4/2022; POSITION/TITLE/RELATIONSHIP: MANAGING PARTNER ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 02/2023; APX NUMBER OF HOURS PER WEEK: 2, APX NUMBER OF HOURS DURING TRADING HOURS: 2, POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT , BRIEF DESCRIPTION OF DUTIES: SELLS HEALTH, DENTAL, VISION, GROUP HEALTH, MEDICARE SUPPLEMENT & ADVANTAGE PLANS; 4) NAME OF OTHER BUSINESS: DONALD KLUGE & COMPANY, INC, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX AND ACCOUNTING, START DATE: 06/2024, POSITION/TITLE/RELATIONSHIP: ENROLLED AGENT, APX NUMBER OF HOURS PER WEEK: 5, APX NUMBER OF HOURS DURING TRADING HOURS: VARIES, BRIEF DESCRIPTION OF DUTIES: ACCOUNTING AND TAX PREPARATION;

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-09-25
• S63 Uniform Securities Agent State Law Examination
  1998-06-12