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ROBERT ALLEN KLEIN
BOB KLEIN, ROB KLEIN, ROBERT KLEIN
CRD#: 3111450
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 WHITE PLAINS, NY
CETERA ADVISORS LLCCRD#: 10299 WHITE PLAINS, NY
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 1999 (1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2024 - Present (<1 year)BCETERA ADVISORS LLC (CRD# 10299)2016 - Present (8 years)BINVESTORS CAPITAL CORP. (CRD# 30613)2004 - 2016 (12 years)BRYAN BECK & CO. (CRD# 3248)2002 - 2004 (2 years)BGRUNTAL & CO., L.L.C. (CRD# 372)1999 - 2002 (2 years)IACETERA ADVISORS LLC (CRD# 10299)2016 - 2024 (7 years)IAINVESTORS CAPITAL ADVISORY (CRD# 30613)2005 - 2016 (11 years)
License(s)

State Registrations

B
Connecticut 10/3/2016

IA
New York 3/21/2024

B
Florida 10/3/2016

B
North Carolina 1/4/2023

B
Massachusetts 1/16/2025

B
Pennsylvania 10/3/2016

B
New Jersey 10/3/2016

B
South Carolina 7/25/2018

B
New York 10/3/2016

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)
WHITE PLAINS, NY
Registered with this firm since 3/21/2024

B
CETERA ADVISORS LLC (CRD#:10299)
WHITE PLAINS, NY
Registered with this firm since 10/3/2016

Previous Registration(s)
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IA
10/03/2016 - 03/21/2024 CETERA ADVISORS LLC (CRD#:10299) GREENWOOD VILLAGE, IL
IA
03/15/2005 - 10/03/2016 INVESTORS CAPITAL ADVISORY (CRD#:30613) WHITE PLAINS, NY
B
03/30/2004 - 10/03/2016 INVESTORS CAPITAL CORP. (CRD#:30613) WHITE PLAINS, NY
B
04/29/2002 - 04/07/2004 RYAN BECK & CO. (CRD#:3248) FLORHAM PARK, NJ
B
12/01/1999 - 05/13/2002 GRUNTAL & CO., L.L.C. (CRD#:372) NEW YORK, NY
B
09/10/1998 - 12/23/1999 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
09/10/1998 - 12/23/1999 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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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.