Keven J. Picardo
Professional summary
Keven James Picardo is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Las Vegas, Nevada and CETERA ADVISORS LLC located in Las Vegas, Nevada.
Keven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Keven has worked at 15 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Keven James Picardo's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 9, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4040 E Post Rd Ste 101 Unit F-1, Las Vegas, NV 89120Office #2: 375 N. Stephanie Street, Building #7 Suite #712, Henderson, NV 89014Office #4: 1876 Woodhaven Drive, Henderson, NV 89074September 8, 2022 - Present
CETERA ADVISORS LLC
Office #1: 4040 E Post Rd Ste 101 Unit F-1, Las Vegas, NV 89120Office #2: 375 N. Stephanie Street, Building #7 Suite #712, Henderson, NV 89014July 2, 2012 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
June 29, 2005 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
June 13, 2005 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
July 26, 1999 - June 13, 2005
ROUND HILL SECURITIES, INC.
January 4, 1999 - July 27, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 18, 1997 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
January 13, 1997 - June 16, 1997
AMERICAN FRONTEER FINANCIAL CORPORATION
September 27, 1995 - January 13, 1997
SIGNAL SECURITIES, INC.
August 15, 1994 - September 26, 1995
USA CAPITAL
September 4, 1990 - August 23, 1994
WELLS FARGO CLEARING SERVICES, LLC
June 1, 1990 - September 4, 1990
BOETTCHER & COMPANY, INC.
January 22, 1985 - June 21, 1990
UBS FINANCIAL SERVICES INC.
October 18, 1984 - January 28, 1985
STONERIDGE SECURITIES, INC.
March 22, 1984 - June 7, 1984
RICHEY, FRANKEL & COMPANY
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/8/2022)
(9/8/2022)
(1/2/2024)
(9/8/2022)
(9/8/2022)
(2/14/2023)
(11/9/2020)
(9/8/2022)
(9/8/2022)
(11/12/2020)
(9/8/2022)
(9/8/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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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