Ross H Klafter

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-12-14
CA	RA	APPROVED	2019-06-20

TX RA
APPROVED_RES

Since 2023-12-14
CA RA
APPROVED

Since 2019-06-20

Branch Locations

155 North Lake Avenue Suite 430, Pasadena, CA 91101 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Foresters Financial Service - E85 Los Angeles - Cp	Monrovia	CA	04/2008	06/2019
Foresters Advisory Services	Monrovia	CA	03/2019	06/2019
Cetera Investment Services Llc	St Cloud	MN	06/2019	Present
Cetera Investment Adviser Llc	Monrovia	CA	06/2019	Present

04/2008 → 06/2019

Foresters Financial Service - E85 Los Angeles - Cp

Monrovia, CA
03/2019 → 06/2019

Foresters Advisory Services

Monrovia, CA
06/2019 → Present

Cetera Investment Services Llc

St Cloud, MN
06/2019 → Present

Cetera Investment Adviser Llc

Monrovia, CA

Previous Registrations

2019-06-14 → 2019-06-24

Foresters Advisory Services, Llc

Monrovia, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-03-15
S63	Uniform Securities Agent State Law Examination	2008-05-28

S65 Uniform Investment Adviser Law Examination

2019-03-15
S63 Uniform Securities Agent State Law Examination

2008-05-28

View on SEC IAPD

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

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