Individual Firm
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RUTH ROMAINE KLINE
CRD#: 4631234
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 233 S WAKER DR STE 1800
CHICAGO, IL 60606
CHICAGO, IL 60606
CETERA ADVISOR NETWORKS LLCCRD#: 13572 233 S WACKER DR STE 1800
CHICAGO, IL 60606
CHICAGO, IL 60606
0
Disclosures
21
Years of Experience
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State Registrations
B
California 12/8/2005
B
Missouri 3/26/2019
B
Colorado 6/16/2016
B
New Jersey 1/2/2019
B
Connecticut 2/21/2018
B
New York 1/8/2018
B
Delaware 4/23/2014
B
North Carolina 1/2/2019
B
District of Columbia 1/2/2019
B
Ohio 1/3/2019
B
Florida 8/23/2019
B
Oregon 4/19/2017
B
Georgia 12/18/2017
B
Pennsylvania 5/3/2018
B
Hawaii 3/5/2020
B
South Carolina 1/2/2019
B
Illinois 12/8/2005
B
Texas 5/8/2019
IA
Illinois 6/29/2023
IA
Texas 6/29/2023
B
Maryland 6/20/2017
B
Utah 6/16/2016
B
Massachusetts 1/2/2019
B
Virginia 6/16/2016
B
Michigan 8/7/2020
B
Wisconsin 5/1/2018
B
Minnesota 12/8/2005
SRO Registrations
B
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IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 12/8/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/09/2017 - 06/29/2023 | CHICAGO, IL | |
B | 09/25/2003 - 12/07/2005 | CHICAGO, IL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.