KC
Kenneth L. Cauwels
CETERA WEALTH SERVICES
Atlanta, GA 30346
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CRD#: 1792301
KC
Professional summary
Kenneth Lee Cauwels is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Atlanta, Georgia.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1988. Kenneth has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Lee Cauwels'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
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1455 Lincoln Parkway 3rd Floor Suite 325a, Atlanta, GA 30346BD
CRD#: 13572
Atlanta, GA
Past
August 31, 2015 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
ATLANTA, GA
Past
September 17, 2001 - December 4, 2015
J.P. TURNER & COMPANY, L.L.C.
BD
CRD#: 43177
ATLANTA, GA
Past
January 9, 1998 - September 18, 2001
DONALD & CO. SECURITIES INC.
BD
CRD#: 7776
TINTON FALLS, NJ
Past
August 14, 1992 - December 18, 1997
SAMCO FINANCIAL SERVICES, INC.
BD
CRD#: 30108
PHOENIX, AZ
Past
August 13, 1990 - August 24, 1992
YAEGER SECURITIES, INC.
BD
CRD#: 10118
Past
December 20, 1988 - October 18, 1990
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(11/4/2019)
RR
Arizona(9/20/2019)
RR
California(9/20/2019)
RR
Colorado(9/20/2019)
RR
Florida(9/24/2019)
RR
Georgia(9/20/2019)
RR
Illinois(9/20/2019)
RR
Iowa(3/26/2024)
RR
Maryland(9/20/2019)
RR
Massachusetts(9/24/2019)
RR
Michigan(2/28/2020)
RR
Minnesota(9/20/2019)
RR
Mississippi(9/20/2019)
RR
Nebraska(4/9/2024)
RR
Nevada(2/13/2020)
RR
New Jersey(9/20/2019)
RR
New York(9/20/2019)
RR
North Carolina(9/20/2019)
RR
North Dakota(9/20/2019)
RR
Ohio(9/20/2019)
RR
Oklahoma(2/6/2020)
RR
Pennsylvania(4/29/2020)
RR
South Carolina(9/20/2019)
RR
Texas(9/20/2019)
RR
Utah(8/25/2025)
RR
Virginia(9/20/2019)
RR
Wisconsin(9/20/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
