RK
RK
Ross Klafter
17 Years of Experience
Pasadena, CA
4 DisclosuresBroker
Ross Klafter is a registered investment advisor at Cetera Investment Advisers LLC, based in Pasadena, CA, with 17 years of industry experience. Ross 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
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
155 North Lake Avenue, Suite 430, Pasadena, CA, 91101
Get directionsHistory
Regulatory History (4)
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Judgment / Lien
November 2021Judgment / Lien
September 2020Judgment / Lien
June 2019Judgment / Lien
September 2016Employment History
Current Registrations
Cetera Investment Advisers LLC
June 2019 - Present · 7 yrs 3 mos
Cetera Investment Services LLCBroker
June 2019 - Present · 7 yrs 3 mos
Previous Registrations
Foresters Advisory Services, LLC
June 2019 - June 2019 · 0 mos
Foresters Financial Services, INC.Broker
June 2008 - June 2019 · 11 yrs
State Registrations8 states
CACONCNVOHORTNTX
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.