Ken Bell


Senior Vice President, Audit

Cetera Financial Group


Ken Bell is Senior Vice President, Audit for Cetera Financial Group, a position he has held since Cetera’s inception in 2010. Prior to the formation of Cetera, he held the same position with ING Advisors Network. He is responsible for leading a compliance audit program for the group’s independent broker-dealers and is involved in other group risk management projects and initiatives. Prior to joining ING in 2000, Ken was with the NASD’s (n/k/a FINRA) Atlanta District Office, where he spent most of his 17 years managing a field examination staff. He was also significantly involved in developing a training and performance support system for NASD examiners. Prior to his work with NASD, Ken worked in corporate accounting. He is a graduate of the University of Georgia and received the designation of Certified Regulatory and Compliance Professional (CRCP) through the FINRA Institute at Wharton. Ken is a frequent speaker at industry conferences and is an active member of the National Society of Compliance Professionals (NSCP), the Financial Services Institute (FSI), the Securities Industry Financial Markets Association (SIFMA), and the Georgia Society of CPAs. He recently completed three-year terms on the NSCP Board of Directors and the FINRA South Region Committee, and a two-year term on the FINRA Regulatory Advisory Committee.


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