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Kenneth Arena

Cetera Investment Advisers LLC
54 Years of Experience
Pompano Beach, FL
5 DisclosuresBroker
View SEC Summary
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Kenneth Arena is a registered investment advisor at Cetera Investment Advisers LLC, based in Pompano Beach, FL, with 54 years of industry experience. Kenneth is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

Pompano Beach, FL

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History

Regulatory History (5)
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
March 2026
Pending
Employment Separation After Allegations
May 2014
Customer Dispute
December 2013
Settled
Customer Dispute
August 2005
Denied
Customer Dispute
December 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Kenneth works as a financial professional for Cetera Wealth Partners, providing financial services. This takes up a full-time commitment.

Employment History
Current Registrations
Cetera Investment Advisers LLC
April 2024 - Present · 2 yrs 6 mos
Cetera Wealth Services, LLCBroker
December 2023 - Present · 2 yrs 10 mos
Previous Registrations
Newbridge Financial Services Group, INC.
June 2014 - December 2023 · 9 yrs 6 mos
Newbridge Securities CorporationBroker
May 2014 - December 2023 · 9 yrs 7 mos
Ameriprise Financial Services, INC.
June 2007 - May 2014 · 6 yrs 11 mos
Ameriprise Financial Services, INC.Broker
May 2007 - May 2014 · 7 yrs
Wachovia Securities, LLC
October 2000 - May 2007 · 6 yrs 7 mos
Wachovia Securities, LLCBroker
October 2000 - May 2007 · 6 yrs 7 mos
First Union Brokerage Services, INC.Broker
December 1994 - October 2000 · 5 yrs 10 mos
Compulife Investor Services, INC.Broker
December 1992 - September 1994 · 1 yr 9 mos
Sunamerica Securities, INC.Broker
May 1992 - November 1992 · 6 mos
Anchor National Financial Services, INC.Broker
February 1992 - May 1992 · 3 mos
Waddell & Reed, INC.Broker
August 1990 - December 1991 · 1 yr 4 mos
Dean Witter Reynolds INC.Broker
August 1988 - June 1989 · 10 mos
Morgan Keegan & Company, INC.Broker
October 1984 - July 1988 · 3 yrs 9 mos
Kidder, Peabody & CO. IncorporatedBroker
November 1981 - January 1983 · 1 yr 2 mos
Oppenheimer & CO., INC.Broker
January 1979 - August 1981 · 2 yrs 7 mos
Dean Witter Reynolds INC.Broker
February 1978 - January 1979 · 11 mos
Reynolds Securities, INC.Broker
December 1975 - February 1978 · 2 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
July 1970 - April 1976 · 5 yrs 9 mos
Weis Securities, INC.Broker
April 1968 - January 1971 · 2 yrs 9 mos
Winslow Cohu Stetson INCBroker
April 1968 - January 1971 · 2 yrs 9 mos
State Registrations3 states
CTFLNC
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.
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