Kenneth W. Kleva
Professional summary
Kenneth William Kleva is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Hickory, North Carolina.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1982. Kenneth has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth William Kleva's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1333 2nd St Ne Suite 303, Hickory, NC 28601July 17, 2020 - September 7, 2023
SECURITIES AMERICA, INC.
December 15, 2017 - July 17, 2020
INVESTACORP, INC.
April 30, 2010 - December 19, 2017
WOODBURY FINANCIAL SERVICES, INC.
May 2, 2008 - May 5, 2010
CETERA WEALTH SERVICES, LLC
January 3, 2007 - May 5, 2010
CETERA WEALTH SERVICES, LLC
June 20, 2002 - January 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - January 3, 2007
WELLS FARGO CLEARING SERVICES, LLC
September 15, 2000 - June 20, 2002
WACHOVIA SECURITIES, INC.
August 25, 2000 - June 15, 2002
WACHOVIA SECURITIES, INC.
August 14, 2000 - September 12, 2000
UBS FINANCIAL SERVICES INC.
September 3, 1982 - August 14, 2000
J.C. BRADFORD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/5/2023)
(9/5/2023)
(3/11/2024)
(9/5/2023)
(9/5/2023)
(9/11/2023)
(9/5/2023)
(9/5/2023)
(9/5/2023)
Exams
FINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
