KM
Kenneth E. Morris
CETERA INVESTMENT ADVISERS LLC
Dublin, OH
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CRD#: 2155973
KM
Professional summary
Kenneth Eugene Morris JR, AIF®, who also goes by Ken Morris Jr, Kenneth Eugene Morris, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Dublin, Ohio and CETERA WEALTH SERVICES, LLC located in Dublin, Ohio.
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 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken Morris Jr | Kenneth Eugene Morris
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: 01/1991; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; 2. NAME OF OTHER BUSINESS: SIDE ENTERPRISES, LLC - NO FREEZE WATER HOSE; INVESTMENT RELATED: NO; ADDRESS: POWELL, OH 43065; NATURE OF BUSINESS: MANUFACTURING COMPANY AND SALES OF PRODUCTS DIRECTLY TO THE CONSUMER; START DATE: 11/2007; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 5; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: MARKETING AND ADMINISTRATION; 3. NAME OF OTHER BUSINESS: MORRIS WEALTH MANAGEMENT, INC.; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: SECURITIES-RELATED DBA START DATE: 01/2010; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 50; APX NUMBER OF HOURS DURING TRADING HOURS: 50; BRIEF DESCRIPTION OF DUTIES: SECURITIES-RELATED DBA;
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Eugene Morris 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®
Experience
Current
December 16, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 457 Village Park Drive Unit E, Powell, OH 43065RIA
CRD#: 105644
Dublin, OH
Current
December 16, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #2: 457 Village Park Drive, Powell, OH 43065BD
CRD#: 13572
DUBLIN, OH
Past
February 4, 2010 - December 19, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
DUBLIN, OH
Past
February 1, 2010 - December 19, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
DUBLIN, OH
Past
January 2, 2009 - February 2, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
DUBLIN, OH
Past
July 26, 2000 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
DUBLIN, OH
Past
May 31, 2000 - February 2, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
DUBLIN, OH
Past
January 4, 1996 - June 2, 2000
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
August 20, 1991 - December 31, 1995
NEW ENGLAND SECURITIES
BD
CRD#: 615
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
Arizona(12/16/2024)
RR
California(12/16/2024)
RR
Colorado(12/16/2024)
RR
Florida(12/16/2024)
RR
Indiana(7/16/2025)
RR
Kansas(12/16/2024)
RR
Michigan(12/16/2024)
RR
Mississippi(12/16/2024)
RR
North Carolina(12/23/2024)
RR
Ohio(12/16/2024)
IAR
Ohio(12/16/2024)
RR
Pennsylvania(12/16/2024)
RR
Tennessee(12/16/2024)
RR
Texas(12/16/2024)
IAR
Texas(12/16/2024)
Exams
State Security Law Exam
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
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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.
