KD
Kenneth L. Davis
CETERA INVESTMENT ADVISERS LLC
FLORENCE, AL 35630
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CRD#: 5628888
KD
Professional summary
Kenneth Lynn Davis, who also goes by Ken Davis, Kenneth L Davis, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Florence, Alabama and CETERA WEALTH SERVICES, LLC located in Florence, Alabama.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Kenneth has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ken Davis | Kenneth L Davis
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.
FIRST METRO BANK FINANCIAL SERVICES; Investment Related; 325 South Pine Street, Florence AL 35630; Insurance and Fixed Annuities; Financial Adviser; Start Date 07/2013; 40 hours per month with 2 hours per month occurring during trading hours; Licensed insurance agent offering/selling insurance products including fixed annuities, fixed indexed annuities and securities. >> FIRST METRO BANK; Investment Related; 325 South Pine Street, Florence AL 35630; Banking; Vice President; Start Date 02/2013; 100 hours per month with 8 hours per month occurring during trading hours; Chartered Bank where I serve as an officer of the bank as a Financial Advisor.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Lynn Davis'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
February 20, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2975 Hough Road, Florence, AL 35630RIA
CRD#: 105644
FLORENCE, AL
Current
February 20, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 325 South Pine Street, Florence, AL 35630BD
CRD#: 13572
Florence, AL
Past
March 18, 2013 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Florence, AL
Past
March 12, 2013 - February 20, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Florence, AL
Past
April 23, 2009 - May 2, 2011
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
FLORENCE, AL
Past
March 11, 2009 - May 2, 2011
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
FLORENCE, AL
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(2/20/2025)
IAR
Alabama(2/20/2025)
RR
Georgia(2/20/2025)
RR
Illinois(2/20/2025)
RR
Mississippi(2/20/2025)
RR
North Carolina(2/20/2025)
RR
Tennessee(2/20/2025)
RR
Texas(2/20/2025)
IAR
Texas(4/1/2025)
RR
Wisconsin(2/25/2025)
Exams
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
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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.
