• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
DONALD OTTO KLUGE
CRD#: 1607746
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 520 BEDFORD ROAD
PLEASANTVILLE, NY 10570
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 520 BEDFORD ROAD
PLEASANTVILLE, NY 10570
Registration History
199019952000200520102015202020252 FIRMS2004 - 2005 (1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2015 - Present (10 years)BCETERA FINANCIAL SPECIALISTS LLC (CRD# 10358)2005 - Present (19 years)BH.D. VEST INVESTMENT SERVICES (CRD# 13686)1987 - 2004 (17 years)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2005 - 2014 (9 years)
License(s)

State Registrations

B
Alaska 9/14/2021

B
Michigan 9/14/2021

B
Arizona 5/25/2022

B
New Hampshire 11/8/2022

B
California 1/4/2016

B
New Jersey 10/24/2005

B
Colorado 1/2/2015

B
New York 10/24/2005

B
Connecticut 1/23/2015

IA
New York 3/31/2021

B
Delaware 10/24/2017

B
North Carolina 1/3/2023

B
Florida 10/24/2005

B
Ohio 2/28/2012

B
Georgia 1/2/2014

B
Pennsylvania 9/14/2021

B
Illinois 6/16/2023

B
South Carolina 1/2/2008

B
Louisiana 1/3/2023

B
Texas 7/29/2022

B
Maine 6/16/2023

IA
Texas 7/31/2022

B
Maryland 9/14/2021

B
Virginia 10/24/2005

B
Massachusetts 1/2/2015

B
Washington 6/13/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
520 BEDFORD ROAD, PLEASANTVILLE, NY 10570
Registered with this firm since 1/6/2015

B
CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)
520 BEDFORD ROAD, PLEASANTVILLE, NY 10570
Registered with this firm since 10/24/2005

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/24/2005 - 12/31/2014 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) PLEASANTVILLE, NY
IA
08/25/2004 - 10/24/2005 C.J.M. ASSET MANAGEMENT, LLC (CRD#:111302) POMPTON LAKES, NJ
B
06/04/2004 - 10/24/2005 C. J. M. PLANNING CORP. (CRD#:5698) POMPTON LAKES, NJ
B
01/07/1987 - 06/10/2004 H.D. VEST INVESTMENT SERVICES (CRD#:13686) DALLAS, TX
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.