Kenneth J. Apking

CETERA INVESTMENT ADVISERS LLC

CINCINNATI, OH

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CRD#: 2721463

Professional summary

Kenneth John Apking is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Cincinnati, Ohio and CETERA FINANCIAL SPECIALISTS LLC located in Cincinnati, Ohio.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kenneth has worked at 8 firms and has passed the Series 63, SIE 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- SELLING HEALTH INSURANCE PRODUCTS; 4850 ORCHARD CLUB CINCINNATI OH, SINCE 05/06, 5 HRS/WK; 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 9/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, ANNUITIES, & LONG TERM CARE;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth John Apking's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 30, 2008 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CINCINNATI, OH

Current

April 7, 2008 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

CINCINNATI, OH

Past

May 29, 2006 - December 31, 2007

ALTERNATIVE WEALTH STRATEGIES, INC.

CRD#: 130933

CHERRY HILL, NJ

Past

January 3, 2005 - December 31, 2005

ESSEX SECURITIES LLC

CRD#: 46605

JERSEY CITY, NJ

Past

March 6, 2003 - November 30, 2004

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

December 1, 1997 - January 30, 2003

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

January 28, 1997 - December 1, 1997

FORTH FINANCIAL SECURITIES, CORPORATION

CRD#: 14363

RICHMOND, VA

Past

September 3, 1996 - December 3, 1996

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Indiana
(4/14/2015)

Kentucky
(4/7/2008)

Ohio
(4/8/2008)

IAR

Ohio
(4/30/2008)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/6/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/2/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Kenneth J. Apking

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth John Apking's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

ALTERNATIVE WEALTH STRATEGIES, INC.

ESSEX SECURITIES LLC

WOODBURY FINANCIAL SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

FORTH FINANCIAL SECURITIES, CORPORATION

1717 CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/6/1999

SIE

Date: 10/1/2018

Series 6

Date: 7/2/1996

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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