Barbara Klein
Barbara Klein is a registered investment advisor at Cetera Investment Advisers LLC, based in Ramona, CA, with 28 years of industry experience. Barbara 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
Ramona, CA
Get directionsHistory
Regulatory History (1)
Customer Dispute
April 2003Other Business ActivitiesSells Insurance
Barbara owns residential rental properties and is the owner/financial advisor for Lighthouse Advisors, LLC, her DBA for securities business, taking up nearly full-time. She also sells fixed insurance products, including life, health, disability, annuities, and long-term care, dedicating a few hours per week, and is the Vice President/Secretary for Rancho Santa Teresa Estates POA, spending minimal time.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Summit Financial Group INC
Summit Brokerage Services, INC.Broker
Investment Advisors CORP
Broker Dealer Financial Services CORP.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Atlas Securities, LLCBroker
State Registrations16 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.