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Kevin Alan Fennell

Cetera Investment Advisers LLC

Pearl River, NY

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Current Employers
Cetera Investment Advisers Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-11-03
NY RA APPROVED 2021-03-31
  • TX RA
    APPROVED_RES
    Since 2022-11-03
  • NY RA
    APPROVED
    Since 2021-03-31

Branch Locations

1 Blue Hill Plaza, 7Th Floor Suite 4373, Pearl River, NY 10965 • 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
OrganizationCityStateFromTo
Foresters Financial Corporation Nanuet NY 03/2005 06/2019
Foresters Financial Advisory Services, Llc Nanuet NY 08/2012 06/2019
Cetera Investent Advisers Llc Pearl River NY 06/2019 Present
Cetera Investment Services Llc St Cloud MN 06/2019 Present
  • 03/2005 → 06/2019
    Foresters Financial Corporation
    Nanuet, NY
  • 08/2012 → 06/2019
    Foresters Financial Advisory Services, Llc
    Nanuet, NY
  • 06/2019 → Present
    Cetera Investent Advisers Llc
    Pearl River, NY
  • 06/2019 → Present
    Cetera Investment Services Llc
    St Cloud, MN
Previous Registrations
Other Businesses

1) CO-OWNER OF RENTAL PROPERTY; JOINT OWNER IS SPOUSE 2) FENNELL FINANCIAL SOLUTIONS DBA FOR CETERA BUSINESS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-09-04
S63 Uniform Securities Agent State Law Examination 2005-04-15
  • S65 Uniform Investment Adviser Law Examination
    2015-09-04
  • S63 Uniform Securities Agent State Law Examination
    2005-04-15

View on SEC IAPD

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CSENGE ADVISORY GROUP, LLC
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HUDSON COMPANIES
WESTMORE ASSET MANAGEMENT

Other Investors

THOMAS MICHAEL MINGONE
JENNIFER LYNN SCHNALZER
CHRISTINE J HYLA
Grady Kerr Powers
WILLIAM EDWARD GALVIN
JOSEPH EDMONDSON
JOHN FRANCIS GALVIN
THOMAS FOX

Other Offices

HIGHTOWER ADVISORS, LLC · Pearl River, NY
KEY INVESTMENT SERVICES LLC · PEARL RIVER, NY
OSAIC WEALTH, INC. · PEARL RIVER, NY
J.P. MORGAN SECURITIES LLC · PEARL RIVER, NY
CSENGE ADVISORY GROUP, LLC · PEARL RIVER, NY
LPL FINANCIAL LLC · PEARL RIVER, NY
HUDSON COMPANIES · PEARL RIVER, NY
WESTMORE ASSET MANAGEMENT · PEARL RIVER, NY

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