Kevin S. Reid
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Sean Reid was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1980. Kevin had worked at 6 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2023 - June 30, 2023
CETERA INVESTMENT ADVISERS LLC
September 3, 2013 - June 29, 2023
CETERA WEALTH SERVICES, LLC
September 3, 2013 - June 30, 2023
CETERA WEALTH SERVICES, LLC
January 26, 2012 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
March 30, 2010 - September 3, 2013
TOWER SQUARE SECURITIES, INC.
February 27, 2009 - January 19, 2010
FSC SECURITIES CORPORATION
February 27, 2009 - January 19, 2010
FSC SECURITIES CORPORATION
July 8, 1997 - February 27, 2009
ADVANTAGE CAPITAL CORPORATION
August 15, 1994 - February 27, 2009
ADVANTAGE CAPITAL CORPORATION
June 3, 1982 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
April 23, 1980 - January 19, 1982
HIMCO DISTRIBUTION SERVICES COMPANY
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 4/14/1980
Registered Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
