Kenneth Lawrence Spielman

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

• 02/2018 → 07/2022
  Lpl Financial Llc
  Commack, NY
• 01/1997 → Present
  Suffolk Service Bureau Dba Professional Tax Savers
  Commack, NY
• 09/2022 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 01/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 10/2007 → 02/2018
  Invest Financial Corporation
  Tampa, FL
• 08/2007 → 02/2018
  Asset & Financial Planning, Ltd
  Commack, NY

Previous Registrations

• 2021-08-03 → 2022-07-13
  Lpl Financial Llc
  Commack, NY
  Commack, NY

Other Businesses

1) SUFFOLK SERVICE BUREAU DBA PROFESSIONAL TAX SAVERS; COMMACK, NY; INVESTMENT RELATED; INCOME TAX PREP; DBA FOR INVESTMENT SERVICES; OWNER; SINCE 01/1997; 40 HRS/MO 2) ATLANTIC COVE MARINA; EAST MORICHES; NY; NON-INVESTMENT RELATED; PART OWNER OF MARINA; SINCE 05/2018; 8 HRS/MO 3) HAMPTON DUNE HOLDINGS; COMMACK, NY; NON-INVESTMENT RELATED; HOLDING CORPORATION OF ATLANTIC COVE MARINA; 4 HRS/MO; SINCE 08/2022 4) 3 SPRING HILL MARINE HOLDINGS; COMMACK, NY; NON-INVESTMENT RELATED; BUSINESS ENTITY FOR TAX PURPOSES; PARTNER; HOLDING COMPANY TO HOLD SHARES OF HAMPTON DUNE HOLDINGS; SINCE 05/2018 OWNER; 1 HR/MO 5) TRUSTEE FOR TRUST; COMMACK, NY; SINCE 01/2007 6) HOFFMAN & BENTOVIM CPA'S; COMMACK, NY; NON-INVESTMENT RELATED; TAX PREP; INDEPENDENT CONTRACTOR; SINCE 01/1997; 20 HRS/MO

Exams

• S66 Uniform Combined State Law Examination
  2023-01-30
• S63 Uniform Securities Agent State Law Examination
  1994-08-01