KM
Kenneth A. Madsen
CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ 85260
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CRD#: 1126819
KM
Professional summary
Kenneth Anthony Madsen is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA WEALTH SERVICES, LLC located in Scottsdale, Arizona.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Kenneth has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10, Series 53, Series 14, Series 8, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NAME OF OTHER BUSINESS: FINRA INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL REGULATOR START DATE: 06/2016 POSITION/TITLE/RELATIONSHIP: ARBITRATOR APX NUMBER OF HOURS PER WEEK: NONE APX NUMBER OF HOURS DURING TRADING HOURS: NONE BRIEF DESCRIPTION OF DUTIES: IF SELECTED, I ARBITRATE FINRA HEARINGS; 2. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 04/2022 POSITION/TITLE/RELATIONSHIP: EMPLOYEE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE SUPPORTING DUTIES; 3. NAME OF OTHER BUSINESS: DIAMOND GENERATIONAL WEALTH LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 3/2023, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 4. NAME OF OTHER BUSINESS: INDEPENDENCE CLASSICAL ACADEMY; INVESTMENT RELATED: NO; ADDRESS: 634 S. ELBERT STREET, ELIZABETH, CO 80107; NATURE OF BUSINESS: EDUCATION; START DATE: 05/2024; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER/TREASURER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: OVERSIGHT FILING OF CHARTER, REVIEW CURRICULUM, ESTABLISH BANK ACCOUNT, REVIEW FINANCIALS, OVERSIGHT OF RUNNING SCHOOL; 5. NAME OF OTHER BUSINESS: ELBERT COUNTY; INVESTMENT RELATED: NO; ADDRESS: 215 COMANCHE STREET, PO BOX 7 KIOWA, CO 80117; NATURE OF BUSINESS: CIVIC ORGANIZATION; START DATE: 09/2025; POSITION/TITLE/RELATIONSHIP: PLANNING COMMISSIONER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: MAKE RECOMMENDATIONS TO THE COMMISSIONERS WITH RESPECT TO LAND USE;
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Anthony Madsen's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9059 E Bahia Dr, Scottsdale, AZ 85260Office #2: 5655 S Yosemite Ste 300, Greenwood Village, CO 80111RIA
CRD#: 105644
SCOTTSDALE, AZ
Current
April 20, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 7373 N Scottsdale Rd Ste A250, Scottsdale, AZ 85253Office #2: 5655 S Yosemite Ste 300, Greenwood Village, CO 80111BD
CRD#: 13572
SCOTTSDALE, AZ
Past
August 2, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
North Richland Hills, TX
Past
April 8, 2020 - October 24, 2022
FFEC WEALTH PARTNERS LLC
BD
CRD#: 16507
SCOTTSDALE, AZ
Past
November 16, 2016 - June 2, 2017
IMPACTIVE ADVISORS LLC
BD
CRD#: 208514
NASHVILLE, TN
Past
December 10, 2013 - February 24, 2016
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
CINCINNATI, OH
Past
July 9, 2012 - July 31, 2012
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
Past
June 1, 2012 - June 15, 2012
LINCOLN INVESTMENT
BD
CRD#: 519
CINCINNATI, OH
Past
September 9, 2009 - June 1, 2012
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
Past
February 24, 1984 - September 8, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(4/21/2022)
IAR
Colorado(6/29/2023)
RR
Florida(8/28/2024)
RR
Georgia(2/6/2025)
RR
Idaho(1/23/2024)
RR
Massachusetts(1/21/2025)
RR
Minnesota(4/12/2024)
RR
Missouri(11/1/2024)
RR
Oklahoma(3/14/2024)
IAR
Texas(10/20/2023)
RR
Texas(12/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/7/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
