KM
Kevin E. Mcgregor
CETERA INVESTMENT ADVISERS LLC
CONCORD, CA 94521
Some features on this profile are disabled
CRD#: 2540872
KM
Professional summary
Kevin Eric Mcgregor is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Concord, California and CETERA WEALTH SERVICES, LLC located in Concord, California.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kevin has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 22, Series 62 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) Insurance Agent~5180 Greenmeadow Dr.~Concord~CA~94521~Independent Insurance Agent~Insurance Sales Agent~12/1/1999~3hrs~3hrs~Sales of Health Insurance (Kaiser Foundation Health Plan), Life Insurance and Fixed Annuities 2) KM Tax & Financial~2950 Buskirk Avenue, Suite 300~Walnut Creek~CA~94597~Tax Preparation/Accounting~Owner/Sole Proprietor~8/22/2011~120hrs~90hrs~Tax PreparationAccounting & Bookkeeping 3) Tax & Financial Services~5180 Greenmeadow Dr.~Concord~CA~94521~Tax Preparation/Accounting~Owner/Sole Proprietor~1/1/1990~100hrs~80hrs~Tax preparation & planningBookkeeping 4) Fiduciary Appointment-Trustee~2361 Oliveras Ave.~Altadena~CA~91001~12/15/2018~8hrs~0hrs~I will be managing her finances and making, making sure her long-term care insurance claims are filed, paying her bills and selling her assets as needed. 5) Fiduciary Appointment-Power of Attorney~2361 Oliveras Avenue~Altadena~CA~91001~1/1/2019~8hrs~4hrs~I am to pay her bills, manages her finances and assets and make financial and business decisions on her behalf
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Eric Mcgregor'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: 5180 Greenmeadow Drive, Concord, CA 94521RIA
CRD#: 105644
CONCORD, CA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CONCORD, CA
Past
August 16, 2002 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
CONCORD, CA
Past
November 7, 1994 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
CONCORD, 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)
RR
Nebraska(9/5/2025)
RR
Oregon(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Washington(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 12/17/2002
Corporate Securities Limited Representative ExaminationGeneral 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Concord, CA 94521TRUST BUT VERIFY
Monitor Kevin Mcgregor
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
