Kenneth N. Buccelli

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CRD#: 4608672

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kenneth Nicholas Buccelli, who also goes by Kenneth Nicholas Buccelli, Ken Buccelli, was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 2003. Kenneth had worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kenneth Nicholas Buccelli | Ken Buccelli

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 7556

MELBOURNE, FL

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".

COLLABORATIVE WEALTH

CRD#: 142106 / SEC#: 801-80100

RIA

Registered Investment Advisory firm - (8/6/2014 Approved)

Indiana

Registered Investment Advisory firm - (12/23/2008 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/26/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/8/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/6/2003

General Securities Representative Examination

Current Firm

COLLABORATIVE WEALTH

CRD#: 142106 / SEC#: 801-80100

RIA

Registered Investment Advisory firm - (8/6/2014 Approved)

Indiana

Registered Investment Advisory firm - (12/23/2008 Terminated)

Texas

Registered Investment Advisory firm - (8/7/2014 Terminated)

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Contact information

Main Address

972 International Parkway, Lake Mary, FL 32746

Mailing Address

Phone number

(407) 792-3336

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COLLABORATIVE WEALTH ADV PART 2A (1/29/2025)

Regulatory assets under management

Total Number of Accounts	1,810
AUM (Assets Under Management)	$ 564,031,327

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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Advisor Monitoring

Firm Stability Insights

Kenneth N. Buccelli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE ADVISOR SERVICES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

COLLABORATIVE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 3/26/2003

SIE

Date: 10/1/2018

Series 31

Date: 5/8/2003

Series 7

Date: 2/6/2003

Current Firm

COLLABORATIVE WEALTH

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLLABORATIVE WEALTH

TRUST BUT VERIFY

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