Kevin J. Farrow

CETERA INVESTMENT ADVISERS LLC

SARASOTA, FL 34233

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CRD#: 4840279

Professional summary

Kevin James Farrow is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sarasota, Florida and CETERA INVESTMENT SERVICES LLC located in Sarasota, Florida.

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 13 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) BRUIN EQUITY HOLDINGS, PURCHASE AND SALE OF REAL ESTATE, 100% OWNER, LESS THAN 1/HR/WK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin James Farrow's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 11, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4041 Cattleman Rd, Sarasota, FL 34233

RIA

CRD#: 105644

SARASOTA, FL

Current

April 9, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 4041 Cattleman Rd, Sarasota, FL 34233

CRD#: 15340

SARASOTA, FL

Past

July 31, 2023 - April 17, 2025

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

Sarasota, FL

Past

July 27, 2023 - April 17, 2025

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

May 19, 2022 - April 24, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

BRADENTON, FL

Past

May 18, 2022 - April 24, 2023

LPL FINANCIAL LLC

CRD#: 6413

BRADENTON, FL

Past

November 27, 2018 - May 24, 2022

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

BRADENTON, FL

Past

November 16, 2018 - May 18, 2022

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

BRADENTON, FL

Past

January 17, 2018 - November 23, 2018

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

SAINT PETERSBURG, FL

Past

December 8, 2017 - November 23, 2018

SAXONY SECURITIES, INC.

CRD#: 115547

ST. LOUIS, MO

Past

November 19, 2015 - October 18, 2017

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

ORLANDO, FL

Past

September 18, 2015 - October 18, 2017

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

ORLANDO, FL

Past

August 16, 2011 - August 21, 2015

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

ORLANDO, FL

Past

July 6, 2011 - August 21, 2015

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ORLANDO, FL

Past

December 22, 2009 - June 10, 2011

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

ALTAMONTE SPRINGS, FL

Past

December 16, 2009 - June 10, 2011

FIFTH THIRD SECURITIES, INC.

CRD#: 628

ALTAMONTE SPRINGS, FL

Past

May 15, 2007 - September 1, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ORLANDO, FL

Past

February 16, 2006 - September 1, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ORLANDO, FL

Past

November 23, 2004 - September 14, 2005

NYLIFE SECURITIES LLC

CRD#: 5167

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".

CETERA INVESTMENT ADVISERS LLC

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.

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

Alabama
(4/10/2025)

Florida
(4/10/2025)

IAR

Florida
(4/11/2025)

Massachusetts
(5/28/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/11/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/21/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/6/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/22/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Kevin J. Farrow

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin James Farrow's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

SAXONY CAPITAL MANAGEMENT, LLC

SAXONY SECURITIES, INC.

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/11/2007

Series 63

Date: 12/21/2004

SIE

Date: 10/1/2018

Series 7

Date: 6/6/2005

Series 6

Date: 11/22/2004

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Contact information

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