Kenneth Walter Rickens
Investment Adviser Representative at LPL Financial LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Kenneth Walter Rickens is an investment adviser representative with LPL Financial LLC in West Harrison, NY, where they have been registered since 2024. They have worked in the securities industry since 2010 and have been registered with 5 firms, including Kestra Advisory Services, LLC and Premier Wealth Advisors, LLC. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in New York.
Registrations & licenses
- Investment adviser:
- New York
- Broker:
12 states and territories
California, Colorado, Connecticut, Florida, Georgia, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Virginia, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- First Allied Securities, Inc.Sep 2010 – Jan 2020San Diego, CA
- Premier Wealth Advisors, LLCJan 2013 – Jan 2020New York, NY
- Kestra Investment Services, LLCFeb 2020 – Oct 2024Stamford, CT
- Kestra Advisory Services, LLCFeb 2020 – Oct 2024Stamford, CT
- LPL Financial LLCOct 2024 – no end date reportedWest Harrison, NY
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Financial LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24,114
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-10970
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at LPL Financial LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kenneth Walter Rickens has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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