Kenneth A. Vargas
Professional summary
Kenneth Alan Vargas, who also goes by Ken Vargas, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Lake Mary, Florida and FIDELITY BROKERAGE SERVICES LLC located in Winter Park, Florida.
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 21 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Alan Vargas's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
October 14, 2015 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 900 North Orlando Ave, Winter Park, FL 32789-2924July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 4, 2016 - July 13, 2018
STRATEGIC ADVISERS LLC
August 27, 2013 - September 25, 2015
THE LEADERS GROUP, INC.
July 18, 2013 - August 21, 2013
INVESTMENT CENTERS OF AMERICA, INC.
July 17, 2013 - August 21, 2013
INVESTMENT CENTERS OF AMERICA, INC.
January 27, 2012 - July 23, 2013
CAPITAL ONE FINANCIAL ADVISORS LLC
January 27, 2012 - July 23, 2013
CAPITAL ONE INVESTMENT SERVICES LLC
January 21, 2011 - January 12, 2012
FFEC WEALTH PARTNERS LLC
November 16, 2009 - December 10, 2010
KESTRA INVESTMENT SERVICES, LLC
March 17, 2009 - November 17, 2009
CULLUM & BURKS SECURITIES, INC.
May 27, 2008 - March 23, 2009
WAMU INVESTMENTS, INC.
April 5, 2007 - February 22, 2008
THE LEADERS GROUP, INC.
December 1, 2006 - March 23, 2007
CHASE INVESTMENT SERVICES CORP.
June 26, 2006 - October 5, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 29, 2005 - July 11, 2006
PARK AVENUE SECURITIES LLC
March 15, 2004 - March 31, 2005
KESTRA INVESTMENT SERVICES, LLC
September 13, 2002 - January 8, 2004
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 1, 2002 - July 18, 2002
SIGNATOR INVESTORS, INC.
February 12, 2001 - January 1, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
July 26, 1999 - August 30, 2000
AFD, INC.
February 28, 1997 - May 20, 1998
FIRST VARIABLE CAPITAL SERVICES, INC.
September 25, 1996 - January 31, 1997
NEW ENGLAND SECURITIES
September 25, 1996 - January 31, 1997
NATIXIS DISTRIBUTION, LLC
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/27/2015)
(11/5/2015)
(10/27/2015)
(10/28/2015)
(10/19/2015)
(3/31/2025)
(10/29/2015)
(11/4/2015)
(3/15/2024)
(10/16/2015)
(10/19/2015)
(10/27/2015)
(10/27/2015)
(5/3/2024)
(10/25/2024)
(7/19/2024)
(10/16/2015)
(11/16/2016)
(9/12/2024)
(3/31/2025)
Exams
FINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
