Kenneth L. Hooker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kenneth Larry Hooker, ChFC®, who also goes by Kenneth Larry Hooker, K. Larry Hooker, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1984. Kenneth had worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 53, Series 27, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2024 - December 31, 2025
CETERA INVESTMENT ADVISERS LLC
October 11, 2021 - October 4, 2024
CAPITAL GROWTH & SHELTER, INC.
March 31, 2021 - March 21, 2024
CETERA ADVISORS LLC
January 1, 2004 - December 31, 2025
CETERA ADVISORS LLC
April 23, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
May 20, 1996 - March 25, 1999
FSC SECURITIES CORPORATION
April 27, 1995 - December 17, 1997
VOYA FINANCIAL PARTNERS, LLC
April 27, 1987 - May 20, 1996
CAPITAL GROWTH & SHELTER,INC.
March 14, 1984 - November 13, 1986
FORESTERS FINANCIAL SERVICES, INC.
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
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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 |
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.
