KL
Kenneth K. Liu
CETERA INVESTMENT ADVISERS LLC
ASHBURN, VA 20147
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CRD#: 2826673
KL
Professional summary
Kenneth K Liu is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ashburn, Virginia and CETERA WEALTH SERVICES, LLC located in Ashburn, Virginia.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kenneth has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 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) THE DFG GROUP POSITION: DISTRIBUTOR NATURE: PRINTED MATERIAL SALES INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2004 ADDRESS: Townsend MA , DESCRIPTION: COMMISSION FOR SALES OF PRINTING MATERIAL AND CHECKS, FORMS AND BUSINESS CARDS 2) KENNETH LIU FINANCIAL SERVICES LLC POSITION: MANAGER NATURE: FINANCIAL SERVICES INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 8 START DATE: 01/09/2008 ADDRESS: 44081 Pipeline Plaza, Suite 215, Ashburn VA 20147, DESCRIPTION: Provide financial services to clients 3) HEALTH INSURANCE SALES POSITION: AGENT NATURE: EMPLOYEE BENEFIT CORPORATION OF AMERICA INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: 06/01/2005 ADDRESS: McLean VA , DESCRIPTION: Health insurance 4) KENNETH K LIU CPA LLC POSITION: OWNER NATURE: TAX AND ACCOUNTIGN SERVICES. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: ADDRESS: 44081 Pipeline Plaza, Suite 215, Ashburn VA 20147, DESCRIPTION: PREPARE MANAGEMENT ROLE, , TAX AND ACCOUNTING SERVICES. 5) ASHBURN CROSSROADS CONDOMI NIUM UNIT OWNER ASSOCIATION POSITION: Treasurer NATURE: Office condo association INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/13/2020 ADDRESS: 44081 Pipeline Plaza, Suite 215, Ashburn VA 20147, DESCRIPTION: elected to be on the board for 3 years starting 10/13/2020. Attend annual meeting. Review monthly financial. Provide input from management company who manages the condo on daily basis. Not sure if needs to report as less than 10% time AND 10% income (voluntary position)
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth K Liu'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: 44081 Pipeline Plaza Suite 215, Ashburn, VA 20147RIA
CRD#: 105644
ASHBURN, VA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 44081 Pipeline Plaza Suite 215, Ashburn, VA 20147BD
CRD#: 13572
ASHBURN, VA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
ASHBURN, VA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
ASHBURN, VA
Past
October 24, 2007 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
ASHBURN, VA
Past
March 17, 1997 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
ASHBURN, VA
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
District of Columbia(9/5/2025)
RR
Maryland(9/5/2025)
RR
New Mexico(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Ohio(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
IAR
Virginia(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General 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
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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#: 105644Ashburn, VA 20147TRUST BUT VERIFY
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