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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Barbara? Claim Your ProfileBarbara Yvonne Klein has been a registered representative in the financial services industry since 1998. Barbara is a registered investment advisor in California and Colorado and is also a licensed securities agent in 16 states. Currently, Barbara is employed at Cetera Investment Advisers LLC, a large financial advisory firm with over 100,000 clients nationwide. Barbara specializes in financial planning and portfolio management for individuals, businesses, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CO
01/06/2025 - Present
Cetera Investment Advisers LLC (WESTMINSTER CO)
CO
09/10/2018 - 09/20/2019
SUMMIT BROKERAGE SERVICES, INC. (BROOMFIELD CO)
CO
10/21/2009 - 09/10/2018
BROKER DEALER FINANCIAL SERVICES CORP. (BROOMFIELD CO)
CO
02/01/2007 - 10/21/2009
WELLS FARGO ADVISORS, LLC (BROOMFIELD CO)
CO
03/05/1998 - 02/01/2007
ATLAS SECURITIES, LLC (BROOMFIELD CO)
IA
Issued 11/15/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/14/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2006
Series 7 - General Securities Representative Examination
BC
Issued 02/25/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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