KP
Kenneth W. Petersen
CETERA INVESTMENT ADVISERS LLC
NEWPORT BEACH, CA 92660
Some features on this profile are disabled
CRD#: 706423
KP
Professional summary
Kenneth Wayne Petersen is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Newport Beach, California and CETERA WEALTH SERVICES, LLC located in Newport Beach, California.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Kenneth has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, Series 22TO, SIE, Series 7, Series 1 and Series 24 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.
*KP52 LLC; INVESTMENT RELATED; BENEFICIARY & TRUSTEE OF CHARITABLE TRUSTS; 3/01 TO ONGOING; 0 HRS/MNTH; NONE DURING TRADING HRS. LIFE SETTLEMENTS POSITION: Agent/Broker NATURE: Life Settlements INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 12/15/2020 ADDRESS: 1800 Penbrooks Dr., Orlando FL 32810, United States DESCRIPTION: Selling a policy owned by Roadster Wheels LLC(my client). PMC LLC POSITION: Member NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/01/1995 ADDRESS: 4001 Macarthur Blvd, Suite 300, Newport Beach CA 92660-2508, United States DESCRIPTION: Commercial RE Building.I am the managing member performing management duties. TFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/18/1997 ADDRESS: 4001 Macarthur Blvd, Ste 300, Newport Beach CA 92660, United States DESCRIPTION: On an as needed basis, sale of fixed risk products to clients as a part of normal consultations with prospective or existing clients COTTAGES WEST ASSOCOATION POSITION: Board member NATURE: Volunteer/Community Outreach INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/15/2021 ADDRESS: 75001 Vintage Drive West, Indian Wells CA 92210, United States DESCRIPTION: Homeowners Board- I was appointed a member(there are 5 of us). There will be 3-5 meetings a year lasting 2 hours each. I have a 3 year commitment; NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE SETTLEMENT START DATE: 9/2023; APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH ASHAR; NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 12/1975 APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; NAME OF OTHER BUSINESS: 2437 CORINTH LTD; INVESTMENT RELATED: NO; ADDRESS: 2437 CORINTH AVE. LOS ANGELES, CA 90064; NATURE OF BUSINESS: APARTMENT REAL ESTATE; START DATE: 1/1993; POSITION/TITLE/RELATIONSHIP: PASSIVE PARTNER/OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ASSIST IN MAINTENANCE PERIODICALLY;
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Wayne Petersen'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
August 10, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 4001 Macarthur Blvd Ste 300, Newport Beach, CA 92660RIA
CRD#: 105644
NEWPORT BEACH, CA
Current
August 10, 2023 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 4001 Macarthur Blvd. 3rd Floor, Newport Beach, CA 92660BD
CRD#: 13572
Newport Beach, CA
Past
August 29, 2002 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
NEWPORT BEACH, CA
Past
August 18, 1987 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
NEWPORT BEACH, CA
Past
March 8, 1985 - July 18, 1987
CONSOLIDATED RESOURCES, INC.
BD
CRD#: 13747
Past
March 25, 1980 - March 25, 1983
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
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(8/10/2023)
RR
Arizona(8/10/2023)
RR
California(8/10/2023)
IAR
California(8/10/2023)
RR
Colorado(8/10/2023)
RR
Delaware(8/10/2023)
RR
Florida(8/11/2023)
RR
Georgia(8/10/2023)
RR
Hawaii(5/14/2024)
RR
Idaho(8/24/2023)
RR
Nevada(8/10/2023)
RR
New Jersey(8/10/2023)
RR
Oregon(8/10/2023)
RR
Texas(8/10/2023)
IAR
Texas(8/10/2023)
RR
Utah(8/10/2023)
RR
Washington(8/10/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 3/10/1980
Registered Representative ExaminationPrincipal/Supervisory 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
