KF
Kevin T. Fles
CETERA INVESTMENT ADVISERS LLC
SIKESTON, MO 63701
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CRD#: 4747383
KF
Professional summary
Kevin Thomas Fles, who also goes by Kevin Fles, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sikeston, Missouri and CETERA ADVISORS LLC located in Cape Girardeau, Missouri.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kevin has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Fles
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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: FIXED INSURANCE;
START DATE: 07/2018;
APX NUMBER OF HOURS PER WEEK: 2;
APX NUMBER OF HOURS DURING TRADING HOURS: 2;
POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT;
BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES;
2. NAME OF OTHER BUSINESS: MONTGOMERY BANK - MONTGOMERY WEALTH MANAGEMENT;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: BANK;
POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR;
START DATE: 07/2007;
APX NUMBER OF HOURS PER WEEK: 39.5;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5;
BRIEF DESCRIPTION OF DUTIES: HELP PEOPLE WITH FINANCIAL NEEDS;
3. NAME OF OTHER BUSINESS: DBA MONTGOMERY WEALTH MANAGEMENT;
INVESTMENT RELATED: YES;
ADDRESS: SAME AS REGISTERED LOCATION;
NATURE OF BUSINESS: DBA FOR INSURANCE AND FINANCIAL SERVICES;
START DATE: 07/2007;
POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR;
APX NUMBER OF HOURS PER WEEK: 39.5;
APX NUMBER OF HOURS DURING TRADING HOURS: 32.5;
BRIEF DESCRIPTION OF DUTIES: DBA FOR INSURANCE AND FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Thomas Fles'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: One Montgomery Bank, Sikeston, MO 63701Office #2: 2027 Broadway, Cape Girardeau, MO 63701RIA
CRD#: 105644
SIKESTON, MO
Current
February 28, 2012 - Present
CETERA ADVISORS LLC
Office #1: 2027 Broadway, Cape Girardeau, MO 63703Office #2: One Montgomery Bank Plaza, Sikeston, MO 63801BD
CRD#: 10299
CAPE GIRARDEAU, MO
Past
February 28, 2012 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
July 27, 2007 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
RENTON, WA
Past
July 27, 2007 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
SIKESTON, MO
Past
February 27, 2006 - June 14, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
POPLAR BLUFF, MO
Past
February 27, 2006 - June 14, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
POPLAR BLUFF, MO
Past
January 4, 2005 - November 28, 2005
SCOTTRADE, INC.
BD
CRD#: 8206
ST. LOUIS, MO
Past
March 19, 2004 - November 23, 2004
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
January 12, 2004 - February 13, 2004
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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
Florida(10/8/2024)
RR
Georgia(8/4/2021)
RR
Idaho(11/13/2020)
RR
Illinois(1/4/2019)
RR
Kentucky(9/29/2025)
RR
Missouri(2/28/2012)
IAR
Missouri(3/21/2024)
RR
Tennessee(2/18/2025)
RR
Texas(6/12/2020)
IAR
Texas(3/21/2024)
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
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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
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.
