KN
Kenneth V. Nelson
CETERA INVESTMENT ADVISERS LLC
RALEIGH, NC 27615
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CRD#: 1780923
KN
Professional summary
Kenneth Vincent Nelson, AIF® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Raleigh, North Carolina and CETERA ADVISORS LLC located in Raleigh, North Carolina.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Kenneth has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 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: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE START DATE: 9/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, ANNUITIES & LONG TERM CARE 2.NAME OF OTHER BUSINESS: NELSON WEALTH ADVISORS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 9/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: PRESIDENT BRIEF DESCRIPTION OF DUTIES: CHIEF EXECUTIVE FOR ORGANIZATION. 3.NAME OF OTHER BUSINESS: DUKE UNIVERSITY & NC STATE UNVERSITY, INVESTMENT RELATED: NO ADDRESS: DURHAM NC 27708 NATURE OF BUSINESS: TEACHING START DATE: 2001 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF TRADING HOURS PER WEEK: 2 POSITION/TITLE/RELATIONSHIP: GUEST LECTURER BRIEF DESCRIPTION OF DUTIES: TEACH CLASS THAT MEETS WEEKLY 4.NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RADIO, TV, PRINT, BOOKS; START DATE: 1990; APX NUMBER OF HOURS PER WEEK:5; APX NUMBER OF TRADING HOURS PERWEEK:5; POSITION/TITLE/RELATIONSHIP: COMMENTATOR/AUTHOR; BRIEF DESCRIPTION OF DUTIES: COMMENTARY ON ECONOMIC NEWS OF THE DAY, PODCASTS, BOOK, AND PROMOTIONAL ACTIVITIES;
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Vincent Nelson'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®
Experience
Current
February 23, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 9121 Anson Way Suite 231, Raleigh, NC 27615RIA
CRD#: 105644
RALEIGH, NC
Current
October 3, 2016 - Present
CETERA ADVISORS LLC
Office #1: 9121 Anson Way Suite 231, Raleigh, NC 27615Office #2: 433 Plaza Real, Suite 275-38, Boca Raton, FL 33432BD
CRD#: 10299
RALEIGH, NC
Past
October 3, 2016 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
BOCA RATON, FL
Past
April 24, 2007 - October 3, 2016
INVESTORS CAPITAL CORP.
RIA
CRD#: 30613
RALEIGH, NC
Past
November 20, 2006 - October 3, 2016
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
RALEIGH, NC
Past
September 23, 2004 - November 22, 2006
STONEX SECURITIES INC.
BD
CRD#: 18456
RALEIGH, NC
Past
December 31, 2001 - October 5, 2004
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
RALEIGH, NC
Past
October 5, 2001 - October 5, 2004
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
Past
October 12, 1988 - October 24, 2001
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
April 25, 1988 - October 18, 1988
INDIVIDUAL'S SECURITIES LTD.
BD
CRD#: 7279
Past
December 22, 1987 - April 28, 1988
HAMILTON, GRANT & COMPANY, INC.
BD
CRD#: 15348
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
California(10/3/2016)
RR
Colorado(11/19/2020)
RR
Florida(10/4/2016)
IAR
Florida(2/23/2024)
RR
Michigan(9/30/2019)
RR
Missouri(10/3/2016)
RR
New York(6/7/2017)
RR
North Carolina(10/3/2016)
IAR
North Carolina(3/21/2024)
RR
Ohio(4/8/2025)
RR
Pennsylvania(10/3/2016)
RR
South Carolina(10/3/2016)
RR
Tennessee(10/6/2022)
RR
Texas(3/2/2021)
IAR
Texas(3/21/2024)
RR
Virginia(7/28/2021)
RR
Washington(11/6/2018)
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
RR
Series 8
Date: 11/6/1992
General Securities Sales Supervisor Examination (Options Module & General Module)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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Raleigh, NC 27615TRUST BUT VERIFY
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