Kenneth Wayne Petersen

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

• 12/1975 → Present
  R. Mccloskey Insurance Agency,Inc
  Irvine, CA
• 12/1975 → 08/2023
  Minnesota Life Insurance Company
  St. Paul, MN
• 08/1987 → 08/2023
  Securian Financial Services, Inc.
  St. Paul, MN
• 12/1975 → Present
  Tax & Financial Services
  Newport Beach, CA
• 08/2023 → Present
  Cetera Wealth Services, Llc
  Newport Beach, CA
• 08/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2002-08-29 → 2023-08-10
  Securian Financial Services, Inc.
  Newport Beach, CA
  Newport Beach, CA
  St. Paul, MN

Other Businesses

*KP52 LLC; INVESTMENT RELATED; BENEFICIARY & TRUSTEE OF CHARITABLE TRUSTS; 3/01 TO ONGOING; 0 HRS/MNTH; NONE DURING TRADING HRS. LIFE SETTLEMENTS POSITION: Agent/Broker NATURE: Life Settlements INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 12/15/2020 ADDRESS: 1800 Penbrooks Dr., Orlando FL 32810, United States DESCRIPTION: Selling a policy owned by Roadster Wheels LLC(my client). PMC LLC POSITION: Member NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 06/01/1995 ADDRESS: 4001 Macarthur Blvd, Suite 300, Newport Beach CA 92660-2508, United States DESCRIPTION: Commercial RE Building.I am the managing member performing management duties. TFG FIXED INSURANCE POSITION: Agent/Broker NATURE: Fixed Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/18/1997 ADDRESS: 4001 Macarthur Blvd, Ste 300, Newport Beach CA 92660, United States DESCRIPTION: On an as needed basis, sale of fixed risk products to clients as a part of normal consultations with prospective or existing clients NAME OF OTHER BUSINESS: LIFE SETTLEMENT BUSINESS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: LIFE SETTLEMENT START DATE: 9/2023; APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE SETTLEMENTS THROUGH ASHAR; NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 12/1975 APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; NAME OF OTHER BUSINESS: 2437 CORINTH LTD; INVESTMENT RELATED: NO; ADDRESS: 2437 CORINTH AVE. LOS ANGELES, CA 90064; NATURE OF BUSINESS: APARTMENT REAL ESTATE; START DATE: 1/1993; POSITION/TITLE/RELATIONSHIP: PASSIVE PARTNER/OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: ASSIST IN MAINTENANCE PERIODICALLY;

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-15
• S63 Uniform Securities Agent State Law Examination
  1996-04-03

Designations

• Chartered Financial Consultant