WF
William M. Forrester
CETERA INVESTMENT ADVISERS LLC
Jacksonville, FL 32256
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CRD#: 1443313
WF
Professional summary
William Mckenzie Forrester JR, who also goes by Ken Forrester, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Jacksonville, Florida and CETERA WEALTH SERVICES, LLC located in Jacksonville, Florida.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. William has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken Forrester
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.
CAPITAL FINANCIAL STRATEGIES POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2015 ADDRESS: , Jacksonville FL , United States DESCRIPTION: Agent/Broker CRIMSON CREEK FARMS LLC POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2008 ADDRESS: , Ellaville GA , United States DESCRIPTION: Owner CAPITAL FINANCIAL STRATEGIES POSITION: Notary Public NATURE: Notary Public INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/07/2021 ADDRESS: 10199 Southside Blvd #200capfinstra, Jacksonville FL 32256, United States DESCRIPTION: I have applied to be Notary Public in Florida as a back up in my office
CRS (Client Relationship Summary) - RIA
Click below to view William Mckenzie Forrester JR'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 25, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 10199 Southside Blvd, Builidng One Ste 200, Jacksonville, FL 32256RIA
CRD#: 105644
Jacksonville, FL
Current
June 14, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 10199 Southside Blvd, Builidng One Ste 200, Jacksonville, FL 32256BD
CRD#: 13572
Jacksonville, FL
Past
February 17, 2015 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
Jacksonville, FL
Past
February 3, 2015 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Jacksonville, FL
Past
May 9, 2014 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
JACKSONVILLE, FL
Past
May 6, 2014 - January 26, 2015
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
JACKSONVILLE, FL
Past
May 2, 2014 - January 26, 2015
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
JACKSONVILLE, FL
Past
October 8, 1998 - May 5, 2014
NEW ENGLAND SECURITIES
RIA
CRD#: 615
JACKSONVILLE, FL
Past
October 8, 1998 - May 5, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
JACKSONVILLE, FL
Past
April 3, 1986 - October 15, 1998
EQUITY SERVICES, INC.
BD
CRD#: 265
MONTPELIER, VT
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
Alabama(8/10/2023)
RR
Colorado(1/2/2025)
RR
Connecticut(8/10/2023)
RR
Delaware(5/7/2025)
RR
District of Columbia(1/2/2025)
RR
Florida(6/14/2023)
IAR
Florida(6/25/2023)
RR
Georgia(8/10/2023)
RR
Idaho(1/2/2025)
RR
Illinois(8/10/2023)
RR
Indiana(1/2/2025)
RR
Kansas(8/10/2023)
RR
Kentucky(8/10/2023)
RR
Louisiana(8/10/2023)
RR
Massachusetts(8/10/2023)
RR
Michigan(8/10/2023)
RR
Minnesota(8/10/2023)
RR
Mississippi(1/2/2025)
RR
Missouri(2/5/2024)
RR
New Hampshire(8/10/2023)
RR
New Jersey(8/10/2023)
RR
New York(8/10/2023)
RR
North Carolina(8/10/2023)
RR
Ohio(2/28/2024)
RR
Oklahoma(8/10/2023)
RR
Pennsylvania(8/10/2023)
RR
South Carolina(8/10/2023)
RR
Tennessee(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Virginia(8/10/2023)
RR
Washington(8/10/2023)
RR
West Virginia(1/2/2025)
RR
Wyoming(8/10/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Jacksonville, FL 32256TRUST BUT VERIFY
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Contact information
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