Kevin G. Earls

WILLIS TOWERS WATSON SECURITIES

NEW YORK, NY 10281

Some features on this profile are disabled

CRD#: 1108493

Professional summary

Kevin Gerard Earls is a registered financial advisor currently at WILLIS TOWERS WATSON SECURITIES, LLC located in New York, New York and CETERA INVESTMENT ADVISERS LLC located in New York, New York.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Kevin has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

WILLIS TOWERS WATSON NORTHEAST, INC., INSURANCE SALES, 200 LIBERTY ST NY, NY 10281, INVESTMENT RELATED, START 01/2016, SENIOR VP, INSURANCE SALES, 30 HRS/WK, MOST OF THESE DURING THE FIRM'S NORMAL BUSINESS HOURS.; SNT ASSOCIATES, OCCUPATIONAL THERAPY, ROSLYN, NY, NOT INVESTMENT RELATED, VP, START 03/2012, 2HRS/WK (NON TRADING HOURS).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Gerard Earls's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 27, 2022 - Present

WILLIS TOWERS WATSON SECURITIES, LLC

Office #1: 200 Liberty Street 6th Floor, New York, NY 10281Office #2: 200 Liberty Street, New York, NY 10281

RIA

CRD#: 317602

NEW YORK, NY

Current

June 29, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 200 Liberty Street 3rd Fl, New York, NY 10281

RIA

CRD#: 105644

NEW YORK, NY

Current

September 3, 2013 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 200 Liberty Street 3rd Fl, New York, NY 10281

CRD#: 13572

NEW YORK, NY

Current

August 18, 2022 - Present

WILLIS TOWERS WATSON SECURITIES, LLC

Office #1: 200 Liberty Street 6th Floor, New York, NY 10281Office #2: 200 Liberty Street 6th Floor, New York, NY 10281

RIA

CRD#: 317602

NEW YORK, NY

Past

August 19, 2021 - December 21, 2021

GALLAGHER SECURITIES, INC

RIA

CRD#: 116605

NEW YORK, NY

Past

March 31, 2021 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

September 3, 2013 - December 31, 2014

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

November 24, 2009 - December 21, 2021

GALLAGHER SECURITIES, INC

CRD#: 116605

NEW YORK, NY

Past

September 21, 2009 - November 17, 2009

GALLAGHER SECURITIES, INC

CRD#: 116605

NEW YORK, NY

Past

May 27, 2004 - September 3, 2013

TOWER SQUARE SECURITIES, INC.

RIA

CRD#: 833

NEW YORK, NY

Past

May 27, 2004 - September 3, 2013

TOWER SQUARE SECURITIES, INC.

CRD#: 833

NEW YORK, NY

Past

April 28, 2003 - November 17, 2009

HRH SECURITIES, LLC

RIA

CRD#: 104445

NEW YORK, NY

Past

April 20, 2001 - November 17, 2009

HRH SECURITIES, LLC

CRD#: 104445

NEW YORK, NY

Past

August 30, 1993 - June 10, 2004

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

July 5, 1983 - August 30, 1993

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(9/3/2013)

Illinois
(9/3/2013)

Iowa
(7/11/2018)

Minnesota
(4/11/2023)

New Jersey
(9/3/2013)

New York
(9/3/2013)

IAR

New York
(4/27/2022)

Texas
(9/3/2013)

IAR

Texas
(6/29/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 7/6/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/10/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/1/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kevin G. Earls

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Gerard Earls's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

WILLIS TOWERS WATSON SECURITIES, LLC

GALLAGHER SECURITIES, INC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GALLAGHER SECURITIES, INC

GALLAGHER SECURITIES, INC

TOWER SQUARE SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

HRH SECURITIES, LLC

HRH SECURITIES, LLC

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/6/1995

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/10/1995

Series 6

Date: 7/1/1983

Series 14

Date: 1/2/2023

Series 24

Date: 12/16/1996

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors