KS
Kenneth D. Silverman
CETERA INVESTMENT ADVISERS LLC
Farmingdale, NY 11735
Some features on this profile are disabled
CRD#: 2226600
KS
Professional summary
Kenneth David Silverman, who also goes by Kenneth D Silverman, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Farmingdale, New York and CETERA WEALTH SERVICES, LLC located in Farmingdale, New York.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Kenneth has worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kenneth D Silverman
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: LAW OFFICES OF KENNETH D SILVERMAN ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: LAW OFFICE AND TAX PLANNING ; START DATE: 11/2019 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 10 ; APX NUMBER OF HOURS DURING TRADING HOURS: 10 ; BRIEF DESCRIPTION OF DUTIES: PROVIDE LEGAL AND TAX PLANNING SERVICES TO LOCAL AREA. PRACTICE INCLUDES REAL ESTATE, TRUST AND ESTATES, BUSINESS LAW AND TAX PLANNING ; 2. NAME OF OTHER BUSINESS: 84 CARLTON LLC INVESTMENT RELATED: NO ADDRESS: 15 E SHORE DRIVE BABYLON, NY 11702 NATURE OF BUSINESS: MULTI FAMILY REAL ESTATE START DATE: 2018 POSITION/TITLE/RELATIONSHIP: PARTNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: LANDLORD DUTIES 3. NAME OF OTHER BUSINESS: FOUR FINANCIAL GROUP; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: INVESTMENTS & INSURANCE; START DATE: 11/2019; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: PROVIDE INVESTMENT AND INSURANCE ADVICE AND GUIDANCE;
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth David Silverman'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
April 5, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 500 Bi Country Blvd Suite 117, Farmingdale, NY 11735RIA
CRD#: 105644
Farmingdale, NY
Current
November 5, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 500 Bi County Blvd Suite 117, Farmingdale, NY 11735BD
CRD#: 13572
Farmingdale, NY
Past
November 22, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
NEW YORK, NY
Past
September 2, 2010 - November 15, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MELVILLE, NY
Past
October 14, 2003 - July 29, 2010
BNY MELLON SECURITIES CORPORATION
RIA
CRD#: 231
UNIONDALE, NY
Past
December 9, 2002 - July 29, 2010
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
UNIONDALE, NY
Past
December 6, 2001 - November 13, 2002
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
November 27, 1995 - August 3, 2001
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
January 5, 1993 - September 9, 1994
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
July 23, 1992 - October 20, 1992
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
May 19, 1992 - June 8, 1992
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 14, 1992 - July 8, 1992
BERKELEY SECURITIES CORPORATION
BD
CRD#: 8397
NEW YORK, NY
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(11/5/2019)
RR
Delaware(11/15/2019)
RR
Florida(11/6/2019)
IAR
Florida(4/5/2023)
RR
Kentucky(11/15/2019)
RR
Massachusetts(1/31/2020)
RR
Michigan(11/15/2019)
RR
New Jersey(11/8/2019)
RR
New York(11/8/2019)
IAR
New York(6/29/2023)
RR
North Carolina(11/15/2019)
RR
Wisconsin(11/12/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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
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.
