KD
Kevin J. Duffin
CETERA INVESTMENT ADVISERS LLC
Kettering, OH 45440
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CRD#: 1222132
KD
Professional summary
Kevin James Duffin is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Kettering, Ohio and CETERA WEALTH SERVICES, LLC located in Kettering, Ohio.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Kevin has worked at 7 firms and has passed the Series 63, SIE and Series 6 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) USO CENTRAL & SOUTHERN OHIO; NOT INVESTMENT RELATED; 4200 HOOVER RD, GROVE CITY, OH 43213; BOARD OF DIRECTORS FOR NON-PROFIT; BOARD MEMBER; START 5/1/2017; APX 4-5 HOURS/MONTH, NONE DURING TRADING; PROVIDE MISSION-BASED LEADERSHIP, STRATEGIC OVERSIGHT, AND GOVERNANCE OF THE USO CSO ORGANIZATION (2) NAME OF OTHER BUSINESS: ADVANCED FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 10/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Kevin James Duffin'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
November 24, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2176 Hewitt Ave Suite C, Kettering, OH 45440RIA
CRD#: 105644
Kettering, OH
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2176 Hewitt Ave Suite C, Kettering, OH 45440BD
CRD#: 13572
Kettering, OH
Past
June 22, 2016 - August 7, 2023
MMA SECURITIES LLC
RIA
CRD#: 44254
Dayton, OH
Past
June 8, 2011 - November 17, 2016
BROWER INVESTMENT ADVISERS, LLC
RIA
CRD#: 143371
DAYTON, OH
Past
August 18, 2009 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
DAYTON, OH
Past
May 23, 1994 - August 19, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
DAYTON, OH
Past
August 21, 1984 - October 1, 1992
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
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(9/20/2019)
RR
Florida(9/21/2019)
RR
Georgia(9/20/2019)
RR
Indiana(9/20/2019)
RR
Kentucky(9/20/2019)
RR
Massachusetts(6/23/2023)
RR
North Carolina(12/7/2021)
RR
Ohio(9/20/2019)
IAR
Ohio(11/24/2023)
RR
Tennessee(9/20/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Kettering, OH 45440TRUST BUT VERIFY
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Contact information
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