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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

KENNETH JOSEPH ARENA

Advisor at CETERA INVESTMENT ADVISERS LLC

POMPANO BEACH, FL

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Search this name across graphsid dfx:ria:f594597a-61af-7b62-e7b4-24b6cf193551

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 1, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CETERA INVESTMENT ADVISERS LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 8, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 8, 1985
First registration: Oct 1, 2000
Dual registered: yes, broker-dealer
Other names: Ken Arena|Kenny Arena
IAPD individual key: 6997

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Apr 1, 2024	n/a	yes	POMPANO BEACH, FL	Current employment
NFSG CORPORATION	Bd affiliated wealth	Jun 3, 2014	Dec 4, 2023	no	FT. LAUDERDALE, FL\|BOCA RATON, FL\|POMPANO BEACH, FL\|POMPANO BEACH, FL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 13, 2007	May 12, 2014	no	POMPANO BEACH, FL\|BOCA RATON, FL\|BOCA RATON, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 1, 2000	May 10, 2007	no	POMPANO BEACH, FL\|POMPANO BEACH, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
NFSG CORPORATION	CETERA INVESTMENT ADVISERS LLC	Dec 4, 2023	Apr 1, 2024	119	Firm change	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	NFSG CORPORATION	May 12, 2014	Jun 3, 2014	22	Firm change	Other
WELLS FARGO ADVISORS	AMERIPRISE FINANCIAL SERVICES, LLC	May 10, 2007	Jun 13, 2007	34	Firm change	Wirehouse to ibd

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Apr 1, 2024 to presentfactForm ADV
→ NFSG CORPORATIONRegistered adviserregistration: previous registration
Jun 3, 2014 to Dec 4, 2023factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 13, 2007 to May 12, 2014factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 1, 2000 to May 10, 2007factForm ADV

Dated events

Occurred
Dec 4, 2023
Advisor changed firm
Kenneth Joseph Arena left Nfsg Corporation for Cetera Investment Advisers Llc (registered 2024-04-01)
Form ADVobserved 4 days ago