Kenneth Henry Williams

Current Employers

Employment History

• 10/1978 → Present
  Williams Financial Advisors, Inc.
  San Juan Capistrano, CA
• 01/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 1997-07-08 → 2008-04-02
  Associated Securities Corp.
  San Juan Capistrano, CA
• 1997-07-08 → 2008-04-02
  Associated Planners Investment Advisory Inc
  San Juan Capistrano, CA
• 1997-02-05 → 2002-12-31
  Bts Asset Management, Inc.
  San Juan Capistrano, CA

Other Businesses

1. FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, FIXED INSURANCE, START 1977, <1HR/WK (TRADING HOURS), INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. WILLIAMS FINANCIAL ADVISORS, INC., INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, DBA NAME FOR FINANCIAL SERVICES, START 2008, 45HRS/WK (32.5 TRADING HOURS), PRESIDENT; 3. GARRETT 2002 IRREVOCABLE TRUST, NOT INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, TRUSTEE OF IRREVOCABLE LIFE INSURANCE TRUST, START 2002, <1HR/WK (NON-TRADING HOURS), TRUSTEE - PAY ANNUAL PREMIUM AND OTHER MAINTENANCE ROLES FOR TRUST; 4. WILLIAMS FAMILY TRUST, INVESTMENT RELATED, SAME AS RESIDENTIAL ADDRESS, PERSONAL REAL ESTATE, START 1976, 0HRS/WK (NON-TRADING HOURS), OWNER OF RENTAL PROPERTY; 5.NAME OF OTHER BUSINESS: MARBELLA SCHOLARSHIP FOUNDATION INVESTMENT RELATED: NO ADDRESS: 30800 GOLF CLUB DR. SAN JUAN CAPISTRANO, CA 92675 START DATE: 7/2017 NATURE OF BUSINESS: SCHOLARSHIP FUND FOR HIGH SCHOOL STUDENTS ON GOLF TEAMS IN LOCAL COMMUNITY APX # OF HOURS PER WEEK: 1 APX # OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: CHAIRMAN DUTIES: VARIOUS BOOKKEEPING PRESIDE OVER MEETINGS, COORDINATE AND AWARD SCHOLARSHIPS

Exams

• S63 Uniform Securities Agent State Law Examination
  1983-01-04

Designations