Barbara Yvonne 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

• 10/2009 → 09/2018
  Broker Dealer Financial Services Corp.
  Broomfield, CO
• 09/2018 → 09/2019
  Summit Brokerage Services Inc
  Boca Raton, FL
• 09/2018 → 05/2021
  Summit Financial Group Inc
  Boca Raton, FL
• 09/2019 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2018-09-10 → 2021-05-20
  Summit Financial Group Inc
  Westminster, CO
  Ramona, CA
• 2009-10-21 → 2018-09-10
  Investment Advisors Corp
  Broomfield, CO
• 2007-02-01 → 2009-10-21
  Wells Fargo Clearing Services, Llc
  Broomfield, CO
  Thornton, CO
  Evanston, IL
  Aurora, CO
  Overland Park, KS

Other Businesses

(1) RESIDENTIAL RENTAL PROPERTIES IN COLORADO; NOT INVESTMENT RELATED; SAME ADDRESS AS REGISTERED ADDRESS; PERSONAL RENTAL PROPERTIES; LANDLORD; 04/01/1985; APX 1-2 HOURS/MONTH; APX 0 HOURS/MONTH DURING TRADING; LANDLORD DUTIES (2) LIGHTHOUSE ADVISORS, LLC; INVESTMENT RELATED; SAME AS REGISTERED LOCATION; DBA FOR SECURITIES BUSINESS; OWNER/FINANCIAL ADVISOR; 10/01/2009; APX 200 HOURS/MONTH; APX 130 HOURS/MONTH DURING TRADING; DBA LLC NAME FOR SECURITIES BUSINESS (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: 02/2020 APX NUMBER OF HOURS PER WEEK: 12 ; APX NUMBER OF HOURS DURING TRADING HOURS: 12 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY, ANNUITIES AND LONG TERM CARE (4) NAME OF OTHER BUSINESS: RANCHO SANTA TERESA ESTATES POA INVESTMENT RELATED: NO ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: PROPERTY OWNERS ASSOCIATION ; START DATE: 02/2021 POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT / SECRETARY ; APX NUMBER OF HOURS PER WEEK: 5 PER MONTH ; APX NUMBER OF HOURS DURING TRADING HOURS: NONE ; BRIEF DESCRIPTION OF DUTIES: WORKING WITH OTHER POA MEMBERS TO MONITOR AND OVERSEE ACTIVITIES OF THE COMMUNITY ;

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-11-15
• S63 Uniform Securities Agent State Law Examination
  2002-09-14