KT
Kenneth K. Tanaka
CETERA INVESTMENT ADVISERS LLC
HUNTINGTON BEACH, CA 92649
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CRD#: 2108701
KT
Professional summary
Kenneth Kenji Tanaka is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Huntington Beach, California and CETERA WEALTH SERVICES, LLC located in Huntington Beach, California.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Kenneth has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 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) HUNTINGTON BEACH LIONS FOUNDATION POSITION: Board Member NATURE: Non-profit organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2008 DESCRIPTION: Has no check signing authority, voting parameters, and does not make any investment decisions. 2) TERAOKA & COMPANY, S CORPORATION POSITION: INDEPENDENT CONTRACTOR NATURE: ACCOUNTING AND TAX PRACTICE INVESTMENT RELATED: No NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014 ADDRESS: Huntington Beach CA 92649, United States DESCRIPTION: TAX PREPARATION FOR KENNETH K. TANAKA, CPA TAX CLIENTS 3) TERAOKA WEALTH MANAGEMENT, LLC POSITION: Independent contractor NATURE: Investment services through 1st Global platforms INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/01/2014 DESCRIPTION: Independent contractor - rep no. 87055 4) INSURANCE AGENT POSITION: LICENSED INSURANCE AGENT NATURE: INSURANCE INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: 09/28/1994 DESCRIPTION: Insurance agent 5) REAL ESTATE PROPERTY POSITION: OWNER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2009 DESCRIPTION: Rental real estate 6) TEROKA WEALTH MANAGEMENT, LLC POSITION: Independent contractor NATURE: Investment services through 1st Global platforms INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/01/2014 DESCRIPTION: Provide financial services to clients. 7) REAL ESTATE RENTAL POSITION: OWNER NATURE: RESIDENTAL RENTAL INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/26/2015 Address: DESCRIPTION: KAREN (WIFE) OWNS AND MANAGES PROPERTY 8) KENNETH K. TANAKA, CPA POSITION: Owner NATURE: TAX AND INVESTMENTS INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2015 ADDRESS: 16872 Bolsa Chica Street, Suite 202, Huntington Beach CA 92649, DESCRIPTION: TAX PREPARATION - INTERVIEW CLIENTS AND REVIEW TAX RETURN DATA 9) BILLIE R. BUSH TRUST DATED 9-9-2010 POSITION: SUCCESSIR TRUSTEE NATURE: TRACEY ANN BUSH, SOLE SUCCESSOR TRUSTEE, IN THE EVENT OF THE DEATH, INCAPACITY OR RESIGNATION OF TRACEY ANN BUSH, THEN KENNETH K. TANAKA INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/10/2022 ADDRESS: 16872 Bolsa Chica Street, Suite 202, Huntington Beach CA 92649, United States DESCRIPTION: SECOND TRUSTEE AFTER TRACEY ANN BUSH, NO RESPONSIBILITIES. BILLIE R. BUSH DIED 6-1-2021, TRACEY IS CURRENTLY ADMINISTRATING THE ESTATE.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Kenji Tanaka'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 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 16872 Bolsa Chica Street Suite 202, Huntington Beach, CA 92649RIA
CRD#: 105644
HUNTINGTON BEACH, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 16872 Bolsa Chica Street Suite 202, Huntington Beach, CA 92649BD
CRD#: 13572
HUNTINGTON BEACH, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
HUNTINGTON BEACH, CA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
HUNTINGTON BEACH, CA
Past
August 22, 2007 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
HUNTINGTON BEACH, CA
Past
February 8, 2007 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
HUNTINGTON BEACH, CA
Past
February 28, 1991 - March 9, 2007
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
HUNTINGTON BEACH, CA
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(9/5/2025)
IAR
California(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
