Kenneth Kenji Tanaka

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

• 02/2007 → 10/2019
  1St Global Capital Corp
  Huntington Beach, CA
• 02/2007 → 09/2025
  Avantax Insurance Services
  Huntington Beach, CA
• 08/2007 → 10/2019
  1St Global Advisors Inc.
  Huntington Beach, CA
• 01/2014 → Present
  Teraoka & Company Cpas
  Huntington Beach, CA
• 10/2019 → 09/2025
  Avantax Advisory Services
  Huntington Beach, CA
• 10/2019 → 09/2025
  Avantax Investment Services, Inc.
  Huntington Beach, CA
• 01/2015 → Present
  Kenneth K. Tanaka, Cpa
  Huntington Beach, CA
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Huntington Beach, CA
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2019-10-25 → 2025-09-05
  Avantax Advisory Services
  Huntington Beach, CA
• 2007-08-22 → 2019-10-25
  1St Global Advisors Inc
  Huntington Beach, CA

Other Businesses

1) HUNTINGTON BEACH LIONS FOUNDATION POSITION: Board Member NATURE: Non-profit organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2008 DESCRIPTION: Has no check signing authority, voting parameters, and does not make any investment decisions. 2) TERAOKA & COMPANY, S CORPORATION POSITION: INDEPENDENT CONTRACTOR NATURE: ACCOUNTING AND TAX PRACTICE INVESTMENT RELATED: No NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014 ADDRESS: Huntington Beach CA 92649, United States DESCRIPTION: TAX PREPARATION FOR KENNETH K. TANAKA, CPA TAX CLIENTS 3) TERAOKA WEALTH MANAGEMENT, LLC POSITION: Independent contractor NATURE: Investment services through 1st Global platforms INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/01/2014 DESCRIPTION: Independent contractor - rep no. 87055 4) INSURANCE AGENT POSITION: LICENSED INSURANCE AGENT NATURE: INSURANCE INVESTMENT RELATED: Yes NUMBER OF HOURS: null SECURITIES TRADING HOURS: null START DATE: 09/28/1994 DESCRIPTION: Insurance agent 5) REAL ESTATE PROPERTY POSITION: OWNER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2009 DESCRIPTION: Rental real estate 6) TEROKA WEALTH MANAGEMENT, LLC POSITION: Independent contractor NATURE: Investment services through 1st Global platforms INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 120 START DATE: 01/01/2014 DESCRIPTION: Provide financial services to clients. 7) REAL ESTATE RENTAL POSITION: OWNER NATURE: RESIDENTAL RENTAL INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/26/2015 Address: DESCRIPTION: KAREN (WIFE) OWNS AND MANAGES PROPERTY 8) KENNETH K. TANAKA, CPA POSITION: Owner NATURE: TAX AND INVESTMENTS INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2015 ADDRESS: 16872 Bolsa Chica Street, Suite 202, Huntington Beach CA 92649, DESCRIPTION: TAX PREPARATION - INTERVIEW CLIENTS AND REVIEW TAX RETURN DATA 9) BILLIE R. BUSH TRUST DATED 9-9-2010 POSITION: SUCCESSIR TRUSTEE NATURE: TRACEY ANN BUSH, SOLE SUCCESSOR TRUSTEE, IN THE EVENT OF THE DEATH, INCAPACITY OR RESIGNATION OF TRACEY ANN BUSH, THEN KENNETH K. TANAKA INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/10/2022 ADDRESS: 16872 Bolsa Chica Street, Suite 202, Huntington Beach CA 92649, United States DESCRIPTION: SECOND TRUSTEE AFTER TRACEY ANN BUSH, NO RESPONSIBILITIES. BILLIE R. BUSH DIED 6-1-2021, TRACEY IS CURRENTLY ADMINISTRATING THE ESTATE.

Exams

• S66 Uniform Combined State Law Examination
  2007-08-14

Other Names

• Kenneth Kenji Tanaka