KC
Kevin Clingan
CETERA INVESTMENT ADVISERS LLC
HOUSTON, TX
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CRD#: 6512882
KC
Professional summary
Kevin Clingan is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA ADVISORS LLC located in El Segundo, California.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Kevin has worked at 8 firms and has passed the Series 66, SIE and Series 7 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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE POSITION/TITLE/RELATIONSHIP: AGENT START DATE: 3/2022 APX NUMBER OF HOURS PER WEEK: .5 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE, DISABILITY, FIXED ANNUITIES, AND LONG TERM-CARE; 2. NAME OF OTHER BUSINESS: MASONIC LODGE - MEMORIAL LODGE 1298 INVESTMENT RELATED: NO ADDRESS: 10510 HARWIN DRIVE, HOUSTON, TX 77036 NATURE OF BUSINESS: FRATERNAL ORGANIZATION START DATE: 7/2021 POSITION/TITLE/RELATIONSHIP: SENIOR WARDEN (1ST VICE PRESIDENT) APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: I AM SENIOR WARDEN /1ST VICE PRESIDENT OF MEMORIAL LODGE 1298, WHICH IS A BOARD MEMBER OF A FRATERNAL ORGANIZATION. I HELP OVERSEE THE OPERATIONS OF A MASONIC LODGE, THIS DOES NOT INCLUDE CHECK-WRITING ABILITY; 3. NAME OF OTHER BUSINESS: ARABIA ALCHEMISTS - ARABIA SHRINE TEMPLE INVESTMENT RELATED: NO ADDRESS: 10510 HARWIN DRIVE, HOUSTON, TX 77036 NATURE OF BUSINESS: FRATERNAL ORGANIZATION START DATE: 1/2021 POSITION/TITLE/RELATIONSHIP: SECRETARY APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: I AM THE SECRETARY FOR THE ARABIA ALCHEMISTS. IT IS A UNIT OF THE ARABIA SHRINE TEMPLE THAT FOCUSES ON HOME BREWING. MY JOB IS TO MAKE A CORRECT RECORD OF ALL THINGS PROPER TO BE WRITTEN AND SEND OUT COMMUNICATIONS TO THE MEMBERS. NO CHECK WRITING ABILITY; 4. NAME OF OTHER BUSINESS: MASONIC LODGE - GRAND LODGE OF TEXAS INVESTMENT RELATED: NO ADDRESS: HOUSTON, TX NATURE OF BUSINESS: FRATERNAL ORGANIZATION START DATE: 1/2022 POSITION/TITLE/RELATIONSHIP: OFFICER OF THE GRAND LODGE - DISTRICT DEPUTY GRAND MASTER APX NUMBER OF HOURS PER WEEK: 1-3 APX NUMBER OF HOURS DURING TRADING HOURS: 1-3 BRIEF DESCRIPTION OF DUTIES: MY JOB IS TO OVERSEE THE TEN LODGES IN MY DISTRICT, MEDIATE ANY CONFLICT, SUPPORT LODGE ACTIVITIES, REPRESENT THE GRAND MASTER IN HIS ABSENCE, AND BE A GO BETWEEN THE LOCAL LODGE AND THE STATE GOVERNING BODY, "THE MOST WORSHIPFULGRAND LODGE OF TEXAS, ANCIENT FREE AND ACCEPTED MASONS" NO CHECK-WRITING ABILITY; 5. NAME OF OTHER BUSINESS: TEXAS SHRINE HOMEBREWERS ASSOCIATION, INVESTMENT RELATED: NO, ADDRESS: SAME AS RESIDENTIAL LOCATION, NATURE OF BUSINESS: COMMUNICATIONS, START DATE: 06/2023 POSITION/TITLE/RELATIONSHIP: STATE SECRETARY, LESS THAN ONE HOUR PER WEEK, BRIEF DESCRIPTION OF DUTIES: COMMUNICATE WITH SHRINER BREWERS UNITS ACROSS TEXAS AND INDIVIDUALS; 6. NAME OF OTHER BUSINESS: SENIOR WARDEN, RUTHVEN COMMANDERY #2; INVESTMENT RELATED: NO; ADDRESS: 680 W SAM HOUSTON PKWY S UNIT 1703 HOUSTON, TX 77042; NATURE OF BUSINESS: FRATERNAL ORGANIZATION; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: ELECTED SENIOR WARDEN; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS:; 0 BRIEF DESCRIPTION OF DUTIES: SENIOR WARDEN FOR 1 YEAR TERM JUNIOR OFFICER; 7. NAME OF OTHER BUSINESS: SIR PRIOR, KNIGHTS OF ST. ANDREW, HOUSTON VALLEY; INVESTMENT RELATED: NO; ADDRESS: 680 W SAM HOUSTON PKWY S UNIT 1703 HOUSTON, TX 77042; NATURE OF BUSINESS: FRATERNAL ORGANIZATION; START DATE: 12/2024; POSITION/TITLE/RELATIONSHIP: ELECTED PRIOR; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS:; 0 BRIEF DESCRIPTION OF DUTIES: ATTEND EXECUTIVE MEETINGS, ASSIST PRESIDENT IN ORGANIZING AND RUNNING MEETINGS, NEW MEMBER INDUCTIONS;
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Clingan'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
HOUSTON, TX
Current
April 30, 2021 - Present
CETERA ADVISORS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 10299
El Segundo, CA
Current
March 24, 2022 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 15340
El Segundo, CA
Current
March 24, 2022 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 13572
El Segundo, CA
Current
March 24, 2022 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245BD
CRD#: 10358
El Segundo, CA
Past
March 24, 2022 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 24, 2022 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
April 30, 2021 - April 5, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
THE WOODLANDS, TX
Past
March 25, 2017 - April 30, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
HOUSTON, TX
Past
March 25, 2017 - April 30, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HOUSTON, TX
Past
April 14, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HOUSTON, TX
Past
November 18, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HOUSTON, TX
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
Texas(4/30/2021)
IAR
Texas(6/29/2023)
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.
