Kenneth Max Sharrock

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2024-03-21
TX	RA	APPROVED	2024-03-21

OH RA
APPROVED

Since 2024-03-21
TX RA
APPROVED

Since 2024-03-21

Branch Locations

Dunnellon, FL • United States

3500 Massillon Rd Ste 430, Uniontown, OH 44685 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cetera Advisors Llc	El Segundo	CA	01/2013	Present
Cetera Investment Advisers Llc	Schaumburg	IL	03/2024	Present

01/2013 → Present

Cetera Advisors Llc

El Segundo, CA
03/2024 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2003-02-07 → 2004-01-01

Vestax Securities Corporation

Akron, OH

Other Businesses

1.FIXED INSURANCE AGENT. 2. DBA FOSTER-SHARROCK AND COMPANY, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FINANCIAL SERVICES, STARTED 8/2015, APX 40 HOURS PER WEEK, DURING TRADING HOURS, DBA FOR FINANCIAL SERVICES

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-05-05
S63	Uniform Securities Agent State Law Examination	2002-03-28

S66 Uniform Combined State Law Examination

2026-05-05
S63 Uniform Securities Agent State Law Examination

2002-03-28

View on SEC IAPD