Kevin James Larson

Kevin James Larson is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT ADVISERS LLC located at 400 1ST ST S STE 300, ST CLOUD, MN, 56301.

Kevin James Larson has worked at CETERA INVESTMENT ADVISERS LLC since April 05, 2018

Kevin James Larson is also currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 400 1ST ST S STE 300, ST CLOUD, MN, 56301 since May 04, 2018

Kevin James Larson is also currently employed as a Broker and/or Investment Adviser at CETERA FINANCIAL SPECIALISTS LLC located at 400 1ST ST S STE 300, ST CLOUD, MN, 56301 since May 04, 2018

Kevin James Larson is also currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 400 1ST ST S STE 300, ST CLOUD, MN, 56301 since May 04, 2018

Kevin James Larson is also currently employed as a Broker and/or Investment Adviser at FIRST ALLIED SECURITIES, INC. located at 400 1ST ST S STE 300, ST CLOUD, MN, 56301 since May 04, 2018

Kevin James Larson is also currently employed as a Broker and/or Investment Adviser at SUMMIT BROKERAGE SERVICES, INC. located at 400 1ST ST S STE 300, ST CLOUD, MN, 56301 since May 04, 2018

Kevin James Larson is also currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 400 1ST ST S STE 300, ST CLOUD, MN, 56301 since October 15, 2014

Disclosure History

Kevin James Larson has 2 Disclosure Event(s).

Date: May 16, 2016
Category: Customer Dispute
Allegations: As a control person, failed to place supervision structure in place to prevent a representative from selling promissory notes and unsuitable trading
Damage Amount Requested: $315,000.00
Settlement Amount: $7,500.00
Broker Comment: Larson strongly denies any wrongdoing. He did not supervise the registered representative or the office the registered representative was located at, but rather served as the CCO during the relevant period. Settlement was purely a cost of defense determination.

Date: October 10, 2014
Category: Customer Dispute
Allegations: ALLEGATIONS THAT LARSON FAILED TO SUPERVISE A REGISTERED REPRESENTATIVE WHO ALLEGEDLY ENGAGED IN SELLING AWAY AND MADE UNSUITABLE RECOMMENDATIONS.
Damage Amount Requested: $5,000.00
Settlement Amount: $125,000.00
Broker Comment: LARSON STRONGLY DENIES ANY WRONGDOING. HE DID NOT DIRECTLY SUPERVISE THE RR, BUT RATHER, SERVED AS FINTEGRA'S CCO DURINGTHE RELEVANT PERIOD. LARSON PROPERLY PERFORMED HIS CCO DUTIES AND WAS UNAWARE THAT THE RR ENGAGED IN ANY MISCONDUCT AT FINTEGRA, IF INDEED HE DID.

Errors or Outdated Information?

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All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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