KS
Kenneth W. Seigel
CETERA INVESTMENT ADVISERS LLC
AUBURN, IN 46706
Some features on this profile are disabled
CRD#: 2941254
KS
Professional summary
Kenneth Wayne Seigel, who also goes by Ken Seigel, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Auburn, Indiana and CETERA FINANCIAL SPECIALISTS LLC located in Auburn, Indiana.
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 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken Seigel
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 SEIGEL GROUP LLC,CPA'S, TAX & ACCTG PRAC-MEMBER/OWNER SINCE 1/1/96-PREP TAX RETS PERFORM AUDITS & REVIEW OF COMPILATION-40-50HR/WK. 2)NAME OF OTHER BUSINESS: AUBURN, CORD, DUESENBERG AUTOMOBILE MUSEUM; INVESTMENT RELATED: NO; ADDRESS: 1600 S WAYNE STREET, AUBURN, IN 46706; NATURE OF BUSINESS: AUTO MUSEUM; START DATE: 02/2017; POSITION/TITLE/RELATIONSHIP: FINANCE COMMITTEE BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: APPOINT AUDITORS, APPROVE BUDGETS, REVIEW FINANCIAL STATEMENTS AND 990; 3) SEIGEL PROPERTIES; NOT INVESTMENT RELATED; ADDRESS IS THE REGISTERED LOCATION; COMMERCIAL/RESIDENTIAL REAL ESTATE RENTALS; START 7/2015; 1 HOUR/WEEK AFTER SECURITIES TRADING HOURS. 4)NAME OF OTHER BUSINESS: EBENEZER SHEPHERDING MINISTRIES OF AFRICA, INC ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: FUNDRAISING ORGANIZATION ; START DATE: 06/2019 ; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: 1-2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 ; BRIEF DESCRIPTION OF DUTIES KEEP ORGANIZATION IN COMPLIANCE WITH STATE AND FEDERAL REGULATIONS. FILE ANNUAL FILINGS. PREPARE FINANCIAL STATEMENTS FOR THE BOARD OF DIRECTORS ;
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Wayne Seigel'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
October 22, 2003 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 116 W. 6th Street, Auburn, IN 46706RIA
CRD#: 105644
AUBURN, IN
Current
October 3, 1997 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 116 W. 6th Street, Auburn, IN 46706BD
CRD#: 10358
Auburn, IN
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
Alabama(11/10/2021)
RR
Florida(1/16/2018)
RR
Indiana(10/28/1997)
IAR
Indiana(10/22/2003)
RR
North Carolina(1/5/2016)
RR
Ohio(9/22/2005)
RR
Oklahoma(6/15/2015)
RR
Wisconsin(6/21/2019)
Exams
State Security Law Exam
State Security Law 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
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#: 105644Auburn, IN 46706TRUST BUT VERIFY
Monitor Kenneth Seigel
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
