Kenneth J. Arena

CETERA INVESTMENT ADVISERS LLC

POMPANO BEACH, FL

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CRD#: 6997

Professional summary

Kenneth Joseph Arena, who also goes by Ken Arena, Kenny Arena, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Pompano Beach, Florida and CETERA WEALTH SERVICES, LLC located in Pompano Beach, Florida.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1968. Kenneth has worked at 19 firms and has passed the Series 65, Series 63, SIE, PC, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ken Arena | Kenny Arena

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: CETERA WEALTH PARTNERS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 12/2023 POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Joseph Arena'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 1, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

POMPANO BEACH, FL

Current

December 1, 2023 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Pompano Beach, FL

Past

June 3, 2014 - December 4, 2023

NFSG CORPORATION

RIA

CRD#: 130814

POMPANO BEACH, FL

Past

May 9, 2014 - December 4, 2023

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

POMPANO BEACH, FL

Past

June 13, 2007 - May 12, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

POMPANO BEACH, FL

Past

May 25, 2007 - May 12, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

POMPANO BEACH, FL

Past

October 1, 2000 - May 10, 2007

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

POMPANO BEACH, FL

Past

October 1, 2000 - May 10, 2007

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

POMPANO BEACH, FL

Past

December 7, 1994 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

December 2, 1992 - September 16, 1994

COMPULIFE INVESTOR SERVICES, INC.

CRD#: 21543

ST. CLOUD, MN

Past

May 19, 1992 - November 17, 1992

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

February 14, 1992 - May 19, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

August 10, 1990 - December 23, 1991

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

August 30, 1988 - June 14, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 24, 1984 - July 12, 1988

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

Past

November 12, 1981 - January 19, 1983

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

January 5, 1979 - August 28, 1981

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

February 24, 1978 - January 11, 1979

MORGAN STANLEY DW INC.

CRD#: 7556

Past

December 3, 1975 - February 24, 1978

REYNOLDS SECURITIES, INC.

CRD#: 712

Past

July 22, 1970 - April 15, 1976

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Past

April 4, 1968 - January 21, 1971

WINSLOW COHU STETSON INC

CRD#: 1000001

Past

April 4, 1968 - January 21, 1971

WEIS SECURITIES, INC.

CRD#: 880

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

Connecticut
(12/4/2023)

Florida
(12/11/2023)

IAR

Florida
(4/1/2024)

New Jersey
(12/11/2023)

North Carolina
(12/5/2023)

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 65

Date: 5/16/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/8/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

PC

Date: 6/1/1978

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 11/15/1975

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 4/1/1968

Registered 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.

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Advisor Monitoring

Firm Stability Insights

Kenneth J. Arena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Joseph Arena's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

COMPULIFE INVESTOR SERVICES, INC.

SUNAMERICA SECURITIES, INC.

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

WADDELL & REED

MORGAN STANLEY DW INC.

MORGAN KEEGAN & COMPANY, LLC

KIDDER, PEABODY & CO. INCORPORATED

CIBC WORLD MARKETS CORP.

MORGAN STANLEY DW INC.

REYNOLDS SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

WINSLOW COHU STETSON INC

WEIS SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/1996

Series 63

Date: 1/8/1985

SIE

Date: 10/1/2018

PC

Date: 6/1/1978

Series 7

Date: 11/15/1975

Series 1

Date: 4/1/1968

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

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