Kenneth E. Feldman
Professional summary
Kenneth Eugene Feldman, who also goes by Kenneth Feldman, Kenneth Eugene Feldman, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Torrance, California.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1983. Kenneth has worked at 11 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Eugene Feldman's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
April 27, 2017 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
September 4, 2013 - December 15, 2015
PFS INVESTMENTS INC.
April 13, 2006 - October 5, 2011
AVANTAX INVESTMENT SERVICES, INC.
July 17, 2001 - August 31, 2004
AVANTAX INVESTMENT SERVICES, INC.
July 22, 1997 - December 31, 1999
AVANTAX INVESTMENT SERVICES, INC.
February 27, 1995 - January 17, 1996
BUTTONWOOD SECURITIES, INC.
June 17, 1993 - February 17, 1994
TRIGEM AMERSTOCK CORPORATION
July 17, 1989 - September 1, 1992
GORMAN COMMODITIES, INC.
September 4, 1986 - September 21, 1987
TITAN/VALUE EQUITIES GROUP, INC.
July 13, 1984 - March 26, 1985
INTERFIRST CAPITAL CORPORATION
May 24, 1984 - July 6, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 1983 - May 18, 1984
E. F. HUTTON & COMPANY INC
March 1, 1983 - May 2, 1983
PAULSON INVESTMENT COMPANY LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/5/2025)
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.
