KW
Kenneth H. Williams
CETERA INVESTMENT ADVISERS LLC
SAN JUAN CAPISTRANO, CA 92675
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CRD#: 867975
KW
Professional summary
Kenneth Henry Williams, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Juan Capistrano, California and CETERA WEALTH SERVICES, LLC located in San Juan Capistrano, California.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Kenneth has worked at 8 firms and has passed the Series 63, 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.
1. FIXED INSURANCE WITH VARIOUS COMPANIES,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
FIXED INSURANCE,
START 1977,
<1HR/WK (TRADING HOURS),
INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE;
2. WILLIAMS FINANCIAL ADVISORS, INC.,
INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
DBA NAME FOR FINANCIAL SERVICES,
START 2008,
45HRS/WK (32.5 TRADING HOURS),
PRESIDENT;
3. GARRETT 2002 IRREVOCABLE TRUST,
NOT INVESTMENT RELATED,
SAME AS REGISTERED ADDRESS,
TRUSTEE OF IRREVOCABLE LIFE INSURANCE TRUST,
START 2002,
<1HR/WK (NON-TRADING HOURS),
TRUSTEE - PAY ANNUAL PREMIUM AND OTHER MAINTENANCE ROLES FOR TRUST;
4. WILLIAMS FAMILY TRUST,
INVESTMENT RELATED,
SAME AS RESIDENTIAL ADDRESS,
PERSONAL REAL ESTATE,
START 1976,
0HRS/WK (NON-TRADING HOURS),
OWNER OF RENTAL PROPERTY;
5.NAME OF OTHER BUSINESS: MARBELLA SCHOLARSHIP FOUNDATION
INVESTMENT RELATED: NO
ADDRESS: 30800 GOLF CLUB DR. SAN JUAN CAPISTRANO, CA 92675
START DATE: 7/2017
NATURE OF BUSINESS: SCHOLARSHIP FUND FOR HIGH SCHOOL STUDENTS ON GOLF TEAMS IN LOCAL COMMUNITY
APX # OF HOURS PER WEEK: 1
APX # OF HOURS DURING TRADING HOURS: 1
POSITION/TITLE/RELATIONSHIP: CHAIRMAN
DUTIES: VARIOUS BOOKKEEPING PRESIDE OVER MEETINGS, COORDINATE AND AWARD SCHOLARSHIPS
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Henry Williams'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®
CFP®
Start date: 1988
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 30200 Rancho Viejo Rd Ste G, San Juan Capistrano, CA 92675RIA
CRD#: 105644
SAN JUAN CAPISTRANO, CA
Current
April 3, 2008 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 30200 Rancho Viejo Rd Ste G, San Juan Capistrano, CA 92675BD
CRD#: 13572
SAN JUAN CAPISTRANO, CA
Past
April 8, 2008 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
WAUKEE, IA
Past
July 8, 1997 - April 2, 2008
ASSOCIATED SECURITIES CORP.
RIA
CRD#: 12969
SAN JUAN CAPISTRANO, CA
Past
July 8, 1997 - April 2, 2008
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
RIA
CRD#: 104790
SAN JUAN CAPISTRANO, CA
Past
February 5, 1997 - December 31, 2002
BTS ASSET MANAGEMENT, INC.
RIA
CRD#: 105215
SAN JUAN CAPISTRANO, CA
Past
January 15, 1986 - April 2, 2008
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
SAN JUAN CAPISTRANO, CA
Past
September 29, 1982 - January 22, 1986
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
Past
October 5, 1979 - October 6, 1982
FINANCIAL PLANNERS EQUITY CORPORATION
BD
CRD#: 7420
Past
June 25, 1979 - September 20, 1979
LPL FINANCIAL LLC
BD
CRD#: 6413
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
Arizona(4/3/2008)
RR
California(4/4/2008)
IAR
California(6/29/2023)
RR
Colorado(4/3/2008)
RR
Delaware(7/18/2024)
RR
Florida(6/5/2008)
RR
Georgia(1/5/2021)
RR
Idaho(4/4/2008)
RR
Maine(6/24/2016)
RR
Minnesota(4/3/2008)
RR
Nevada(6/28/2010)
RR
New Jersey(4/3/2008)
RR
North Carolina(4/3/2008)
RR
Oregon(4/18/2008)
RR
Pennsylvania(1/21/2021)
RR
South Carolina(1/27/2022)
RR
Texas(5/27/2010)
IAR
Texas(6/29/2023)
RR
Utah(1/22/2018)
RR
Virginia(1/9/2020)
RR
Washington(4/4/2008)
RR
Wisconsin(2/24/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/11/1979
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
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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
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Check for any disclosures as part of your thorough research when choosing an advisor.
