DK
Dennis R. Kazen
CETERA INVESTMENT ADVISERS LLC
MARYSVILLE, WA 98271
Some features on this profile are disabled
CRD#: 3091872
DK
Professional summary
Dennis Richard Kazen is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Marysville, Washington and CETERA WEALTH SERVICES, LLC located in Marysville, Washington.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Dennis has worked at 8 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) KAZEN FINANCIAL SERVICES, INC. POSITION: President/100% owner NATURE: Financial Services Entity INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 01/01/2001 DESCRIPTION: Provide financial services to clients. 2) ALL SQUARE MORTGAGE INC POSITION: MORTGAGE BROKER NATURE: MORTGAGE LOAN ORIGINATOR INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2015 ADDRESS: Lake Stevens WA 98258, United States DESCRIPTION: I am a W-2 employee of All Square Mortgage as a mortgage loan originator. I help clients with purchase and refinance loans through wholesale lenders. 3) KAZEN ACCOUNTING AND TAX SERVICE LLC POSITION: OTHER - PART TIME ACCOUNTANT AND TAX P NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/01/1998 DESCRIPTION: CPA firm 4) MARYSVILLE GOSPEL HALL CHURCH POSITION: Assistant Treasurer NATURE: Assist with the finances of the church INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/25/1994 ADDRESS: 5202 116th St NE, Marysville WA 98271, United States DESCRIPTION: Count weekly offering and prepare bank deposit. Prepare annual giving report for each participating church member. I am a signer on the church's bank account, but this is for back up purposes only - I have never signed a church check to date. 5) MARYSVILLE COOPERATIVE EDUCATION PROGRAM POSITION: Treasurer NATURE: Maintain the books and records of the non-profit INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/05/2006 ADDRESS: 4407 116th St NE, Marysville WA 98271, United States DESCRIPTION: Collect and deposit donations. Write checks to reimburse teachers and parents. Prepare annual budget and annual tax return 6) PREMIUM RESTROOM TRAILERS LLC POSITION: Member NATURE: I am a partner in a self-contained restroom and shower trailer with my son-in-law. The trailer will be rented out for use at weddings, reunions, birthday parties, etc. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2023 ADDRESS: 5531 126th PL NE, MARYSVILLE WA 98271, United States DESCRIPTION: I will handle the bookkeeping and reporting for the business. 7) WAPATO POINT LODGE ASSOCIATION POSITION: Treasurer NATURE: This is an owner-share condominium association for a time share located on Lake Chelan in Manson, WA. We have had ownership since 2002 and I was asked this last year to join as a volunteer on the Board of Directors. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/31/2024 ADDRESS: 1 Wapato Way, Manson WA 98831, United States DESCRIPTION: Review monthly expense reports as prepared by the management company. Approve expense reports and special projects Participate in annual budget preparation Join bi-monthly or quarterly board meetings
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Richard Kazen'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: 4311 116th Street Ne Suite A Marysville, Wa, Usa,, Marysville, WA 98271RIA
CRD#: 105644
MARYSVILLE, WA
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4311 116th Street Ne Suite A, Marysville, WA 98271BD
CRD#: 13572
MARYSVILLE, WA
Past
October 25, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
MARYSVILLE, WA
Past
October 25, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
MARYSVILLE, WA
Past
February 10, 2006 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
MARYSVILLE, WA
Past
December 14, 2004 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
MARYSVILLE, WA
Past
December 2, 2003 - December 17, 2004
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
October 14, 1998 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
BD
CRD#: 24049
NEW YORK, NY
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
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Montana(9/5/2025)
RR
Nevada(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Washington(9/5/2025)
IAR
Washington(9/5/2025)
RR
Wyoming(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
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.
