KS
Kenneth L. Spielman
CETERA INVESTMENT ADVISERS LLC
COMMACK, NY 11725
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CRD#: 2503634
KS
Professional summary
Kenneth Lawrence Spielman is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Commack, New York and CETERA FINANCIAL SPECIALISTS LLC located in Commack, New York.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kenneth has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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) SUFFOLK SERVICE BUREAU DBA PROFESSIONAL TAX SAVERS; COMMACK, NY; INVESTMENT RELATED; INCOME TAX PREP; DBA FOR INVESTMENT SERVICES; OWNER; SINCE 01/1997; 40 HRS/MO 2) ATLANTIC COVE MARINA; EAST MORICHES; NY; NON-INVESTMENT RELATED; PART OWNER OF MARINA; SINCE 05/2018; 8 HRS/MO 3) HAMPTON DUNE HOLDINGS; COMMACK, NY; NON-INVESTMENT RELATED; HOLDING CORPORATION OF ATLANTIC COVE MARINA; 4 HRS/MO; SINCE 08/2022 4) 3 SPRING HILL MARINE HOLDINGS; COMMACK, NY; NON-INVESTMENT RELATED; BUSINESS ENTITY FOR TAX PURPOSES; PARTNER; HOLDING COMPANY TO HOLD SHARES OF HAMPTON DUNE HOLDINGS; SINCE 05/2018 OWNER; 1 HR/MO 5) TRUSTEE FOR TRUST; COMMACK, NY; SINCE 01/2007 6) HOFFMAN & BENTOVIM CPA'S; COMMACK, NY; NON-INVESTMENT RELATED; TAX PREP; INDEPENDENT CONTRACTOR; SINCE 01/1997; 20 HRS/MO
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Lawrence Spielman'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
January 30, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 6500 Jericho Turnpike Ste 206, Commack, NY 11725RIA
CRD#: 105644
COMMACK, NY
Current
September 1, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 6500 Jericho Turnpike Ste 206, Commack, NY 11725BD
CRD#: 10358
Commack, NY
Past
August 3, 2021 - July 13, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
COMMACK, NY
Past
February 14, 2018 - July 13, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
COMMACK, NY
Past
October 25, 2007 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
COMMACK, NY
Past
January 13, 1999 - November 13, 2007
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
COMMACK, NY
Past
June 2, 1995 - January 13, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
July 26, 1994 - June 9, 1995
GKN SECURITIES CORP.
BD
CRD#: 19415
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
Arizona(8/3/2023)
RR
Connecticut(10/4/2022)
RR
Maine(10/18/2022)
RR
New Jersey(10/13/2022)
RR
New Mexico(9/30/2022)
RR
New York(9/30/2022)
IAR
New York(1/30/2023)
RR
North Carolina(12/15/2022)
RR
Ohio(6/20/2023)
RR
Pennsylvania(10/4/2022)
RR
South Carolina(10/5/2022)
RR
Virginia(4/4/2024)
Exams
State Security Law Exam
State Security Law 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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Commack, NY 11725TRUST BUT VERIFY
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