KL
Kirk A. Lax
CETERA INVESTMENT ADVISERS LLC
MT PLEASANT, SC
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CRD#: 2188664
KL
Professional summary
Kirk A Lax, who also goes by Kirk Anthony Lax, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Mt Pleasant, South Carolina and CETERA WEALTH SERVICES, LLC located in Mt Pleasant, South Carolina.
Kirk is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kirk has worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kirk Anthony Lax
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. CAROLINA CAPITAL MANAGEMENT POSITION: Agent/Broker NATURE: DBA INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2016 ADDRESS: , Summerville SC , United States DESCRIPTION: Agent/Broker 2. SHOEMAKER FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 04/01/2016 ADDRESS: , Germantown TN , United States DESCRIPTION: Agent/Broker 3. REBOOT COMBAT RECOVERY POSITION: Director NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2020 ADDRESS: PO Box 1561, Mt Pleasant SC 29465, United States DESCRIPTION: Teaching combat veterans a course of skills to deal with combat related trauma. 4. THE K ANTHONY LAX AGENCY, LLC POSITION: Agent/Broker NATURE: Sales INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/01/2016 ADDRESS: PO Box 1561, Mt Pleasant SC 29465, United States DESCRIPTION: Market and sales Property and Casualty Insurance. 5. NAME OF OTHER BUSINESS: THE CASON GROUP; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE DBA; START DATE: 9/2025; POSITION/TITLE/RELATIONSHIP: AGENT; APX NUMBER OF HOURS PER WEEK: 10; APX NUMBER OF HOURS DURING TRADING HOURS: 5; BRIEF DESCRIPTION OF DUTIES: SALE AND SERVICE OF FIXED INSURANCE;
CRS (Client Relationship Summary) - RIA
Click below to view Kirk A Lax'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
October 5, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
MT PLEASANT, SC
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 260 West Coleman Blvd Suite C, Mt Pleasant, SC 29464BD
CRD#: 13572
Mt Pleasant, SC
Past
May 9, 2016 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
Mt Pleasant, SC
Past
October 1, 2014 - April 5, 2016
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MT. PLEASANT, SC
Past
May 5, 2014 - October 6, 2014
NYLIFE SECURITIES LLC
BD
CRD#: 5167
CHARLESTON, SC
Past
October 3, 2002 - October 6, 2008
NEW ENGLAND SECURITIES
BD
CRD#: 615
SUMMERVILLE, SC
Past
January 22, 1999 - October 4, 2002
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
February 3, 1997 - January 4, 1999
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
COLUMBUS, OH
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
Georgia(8/10/2023)
RR
Maryland(9/25/2024)
RR
North Carolina(8/10/2023)
RR
South Carolina(8/10/2023)
IAR
South Carolina(10/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/29/2022
General Securities Representative ExaminationGeneral 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.
