Keith Small
Keith Small is a registered investment advisor at Cetera Investment Advisers LLC, based in Yonkers, NY, with 26 years of industry experience. Keith operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Yonkers, NY
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Keith owns rental property and is a managing partner at Kluge Financial Group, LLC, dedicating about a quarter of his time to the latter. He also sells fixed insurance products and works as an enrolled agent doing accounting and tax preparation, spending minimal time on each.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Financial Specialists LLC
Cetera Financial Specialists LLCBroker
Previous Registrations
Legend Equities CorporationBroker
Genworth Financial Advisers Corporation
Oppenheimerfunds Distributor, INC.Broker
Mfs Fund Distributors, INC.Broker
Eaton Vance Distributors, INC.Broker
Fis Securities, INC.Broker
State Registrations31 states
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