Kenneth John Apking

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:

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	2008-04-30

OH RA
APPROVED

Since 2008-04-30

Branch Locations

Cincinnati, OH • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Cetera Financial Specialists Llc	Schaumburg	IL	03/2008	Present
Cetera Investment Advisers Llc	Schaumburg	IL	04/2008	Present

03/2008 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
04/2008 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1) INSURANCE AGENT- SELLING HEALTH INSURANCE PRODUCTS; 4850 ORCHARD CLUB CINCINNATI OH, SINCE 05/06, 5 HRS/WK; 2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERD 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;

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1999-05-06

S63 Uniform Securities Agent State Law Examination

1999-05-06

View on SEC IAPD