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Steve Kluthe Allegedly Failed to Disclose Charges and Fees

Steve Kluthe (CRD #: 5279481), a broker registered with Pruco Securities, was involved in an investor dispute, according to his BrokerCheck record, accessed on August 24, 2021. Details are provided below.

On June 10, 2021, an investor alleged that Steve Kluthe failed to disclose charges, expenses, and fees. The dispute was denied, but investors should know that a denial does not indicate that FINRA has reviewed the dispute. Investors can still pursue FINRA arbitration and recover their losses following a denial.

Steve Kluthe Background Information

Steve Kluthe has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • Series 7TO General Securities Representative Examination
  • Series 6TO Investment Company Products / Variable Contracts Representative Examination
  • Securities Industry Essential Examination

Steve Kluthe is a registered broker in eight states and is a registered investment adviser in California, Iowa, Nebraska, and Texas.

Steve Kluthe has registered with the following firms:

  • Pruco Securities (CRD #: 5685)
  • Prudential Financial Planning Services (CRD #: 5685)

Kurta Law Can Help

If you worked with Steve Kluthe and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email info@kurtalawfirm.com.

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