Individual Firm
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KENNETH VINCENT NELSON
CRD#: 1780923
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 2871 NORTH OCEAN BLVD UNIT C423
BOCA RATON, FL 33431
BOCA RATON, FL 33431
CETERA ADVISORS LLCCRD#: 10299 RALEIGH, NC
0
Disclosures
37
Years of Experience
View By:
State Registrations
B
California 10/3/2016
B
Ohio 4/8/2025
B
Colorado 11/19/2020
B
Pennsylvania 10/3/2016
B
Florida 10/4/2016
B
South Carolina 10/3/2016
IA
Florida 2/23/2024
B
Tennessee 10/6/2022
B
Michigan 9/30/2019
B
Texas 3/2/2021
B
Missouri 10/3/2016
IA
Texas 3/21/2024
B
New York 6/7/2017
B
Virginia 7/28/2021
B
North Carolina 10/3/2016
B
Washington 11/6/2018
IA
North Carolina 3/21/2024
SRO Registrations
B
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IA
Registered with this firm since 2/23/2024
B
Registered with this firm since 10/3/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/03/2016 - 03/21/2024 | RALEIGH, NC | |
IA | 04/24/2007 - 10/03/2016 | RALEIGH, NC | |
B | 11/20/2006 - 10/03/2016 | RALEIGH, NC | |
B | 09/23/2004 - 11/22/2006 | RALEIGH, NC | |
IA | 12/31/2001 - 10/05/2004 | RALEIGH, NC | |
B | 10/05/2001 - 10/05/2004 | MEMPHIS, TN | |
B | 10/12/1988 - 10/24/2001 | CHARLOTTE, NC | |
B | 04/25/1988 - 10/18/1988 | ||
B | 12/22/1987 - 04/28/1988 |
04/25/1988 - 10/18/1988
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.