Kenneth Vincent Nelson

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2006 → 10/2016
  Investors Capital Corporation
  Lynnfield, MA
• 10/2016 → Present
  Cetera Advisors Llc
  St Cloud, MN
• 09/2016 → Present
  Nelson Wealth Advisors
  Raleigh, NC
• 01/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2007-04-24 → 2016-10-03
  Investors Capital Corp.
  Lynnfield, MA
  Gilford, NH
  Raleigh, NC
  Lynnfield, MA
  Lynnfield, MA
• 2001-12-31 → 2004-10-05
  Morgan Keegan & Company, Llc
  Raleigh, NC

Other Businesses

1.NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE START DATE: 9/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: LIFE, ANNUITIES & LONG TERM CARE 2.NAME OF OTHER BUSINESS: NELSON WEALTH ADVISORS, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FIXED INSURANCE, START DATE: 9/2016, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF TRADING HOURS PER WEEK: 32.5, POSITION/TITLE/RELATIONSHIP: PRESIDENT BRIEF DESCRIPTION OF DUTIES: CHIEF EXECUTIVE FOR ORGANIZATION. 3.NAME OF OTHER BUSINESS: DUKE UNIVERSITY & NC STATE UNVERSITY, INVESTMENT RELATED: NO ADDRESS: DURHAM NC 27708 NATURE OF BUSINESS: TEACHING START DATE: 2001 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF TRADING HOURS PER WEEK: 2 POSITION/TITLE/RELATIONSHIP: GUEST LECTURER BRIEF DESCRIPTION OF DUTIES: TEACH CLASS THAT MEETS WEEKLY 4.NAME OF OTHER BUSINESS: N/A; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: RADIO, TV, PRINT, BOOKS; START DATE: 1990; APX NUMBER OF HOURS PER WEEK:5; APX NUMBER OF TRADING HOURS PERWEEK:5; POSITION/TITLE/RELATIONSHIP: COMMENTATOR/AUTHOR; BRIEF DESCRIPTION OF DUTIES: COMMENTARY ON ECONOMIC NEWS OF THE DAY, PODCASTS, BOOK, AND PROMOTIONAL ACTIVITIES;

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-04-19
• S63 Uniform Securities Agent State Law Examination
  1987-12-31