KF
KF
Kevin Fles
21 Years of Experience
Sikeston, MO
2 DisclosuresBrokerSells Insurance
Kevin Fles is a registered investment advisor at Cetera Investment Advisers LLC, based in Sikeston, MO, with 21 years of industry experience. Kevin operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
Loading...
Location
One Montgomery Bank, Sikeston, MO, 63701
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2021Settled
Customer Dispute
February 2020Closed-No Action
Other Business ActivitiesSells Insurance
Kevin is an insurance agent selling life insurance and annuities, dedicating a few hours per week. He also works as a financial advisor for Montgomery Bank and DBA Montgomery Wealth Management, spending about a quarter of his time on each.
Employment History
Current Registrations
Cetera Investment Advisers LLC
March 2024 - Present · 2 yrs 2 mos
Cetera Advisors LLCBroker
February 2012 - Present · 14 yrs 3 mos
Previous Registrations
Cetera Advisors LLC
February 2012 - March 2024 · 12 yrs 1 mo
Pacific West Securities, INC.Broker
July 2007 - February 2012 · 4 yrs 7 mos
Pacific West Financial Consultants INC
July 2007 - February 2012 · 4 yrs 7 mos
Uvest Financial Services Group, INC.
February 2006 - June 2007 · 1 yr 4 mos
Uvest Financial Services Group, INC.Broker
February 2006 - June 2007 · 1 yr 4 mos
Scottrade, INC.Broker
January 2005 - November 2005 · 10 mos
Pruco Securities, LLC.Broker
March 2004 - November 2004 · 8 mos
Woodbury Financial Services, INC.Broker
January 2004 - February 2004 · 1 mo
State Registrations6 states
FLGAILKYMOTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.