Charmaine V. Kaes

BLACKRIDGE ASSET MANAGEMENT

Williamsville, NY 14221

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CRD#: 1202355

Professional summary

Charmaine Valois Kaes, who also goes by Charmaine Valios Kaes, Charmaine Valois Palys, Charmaine Ann Schue, Charmaine Ann Valois, is a registered financial advisor currently at BLACKRIDGE ASSET MANAGEMENT, LLC located in Williamsville, New York and PEAK BROKERAGE SERVICES, LLC located in Williamsville, New York.

Charmaine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Charmaine has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charmaine Valios Kaes | Charmaine Valois Palys | Charmaine Ann Schue | Charmaine Ann Valois

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.

1) Business Entity: Compensation Services, Inc.; Business Activity: Pension admin; Duties of Position: Owner; Title: President; Start date: 1979; Approx. # of hours per month spent on activity: 10; Approx. # of hours spent during trading hours: 10 2) Business Entity: National Integrity; Business Activity: Fixed Annuities; Duties of Position: Sales Rep; Title: Agent; Start Date: 04/1985; Approx. # of hours per month spent on activity: 1; Approx. # of hours spent during trading hours: n/a 3) Business Entity: National Life of Vermont; Business Activity: Insurance; Duties of Position: Sale of Life Insurance; Title: Sales Rep; Start Date: 01/2018; Approx. # of hours per month spent on activity: 1; Approx. # of hours spent during trading hours: n/a 4) Business Entity: Blackridge Asset Management; Business Activity: RIA; Duties of Position: Sales; Title: Advisor: Start Date: 08/2021; Address: Jupiter, FL; Approx. # of hours per month spent on activity: 5; Approx. # of hours spent during trading hours: 5

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charmaine Valois Kaes'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

March 25, 2022 - Present

BLACKRIDGE ASSET MANAGEMENT, LLC

Office #1: 305 Spindrift Driive, Williamsville, NY 14221

RIA

CRD#: 277085

Williamsville, NY

Current

January 3, 2019 - Present

PEAK BROKERAGE SERVICES, LLC

Office #1: 305 Spindrift Drive, Williamsville, NY 14221

CRD#: 157045

Williamsville, NY

Past

July 18, 2011 - January 29, 2019

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

AMHERST, NY

Past

February 4, 2011 - June 30, 2011

ENSEMBLE FINANCIAL SERVICES, INC.

CRD#: 17443

AMHERST, NY

Past

October 19, 2004 - February 7, 2011

SIGNATOR INVESTORS, INC.

CRD#: 468

WILLIAMSVILLE, NY

Past

November 30, 1999 - October 1, 2003

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

January 4, 1999 - October 5, 2004

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

December 11, 1987 - January 4, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

January 15, 1987 - December 2, 1987

MML INVESTORS SERVICES, LLC

CRD#: 10409

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".

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD#: 277085 / SEC#: 801-108114

RIA

Registered Investment Advisory firm - (7/8/2016 Approved)

Florida

Registered Investment Advisory firm - (7/13/2016 Terminated)

New York

Registered Investment Advisory firm - (7/13/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Florida
(1/3/2019)

New York
(1/3/2019)

IAR

New York
(3/25/2022)

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

IAR

Series 65

Date: 3/25/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/15/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/14/1987

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD#: 277085 / SEC#: 801-108114

RIA

Registered Investment Advisory firm - (7/8/2016 Approved)

Florida

Registered Investment Advisory firm - (7/13/2016 Terminated)

New York

Registered Investment Advisory firm - (7/13/2016 Terminated)

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Contact information

Main Address

1070 E. Indiantown Road Suite 208-210, Jupiter, FL 33477

Mailing Address

Phone number

(561) 641-5050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAM_ADV2A (FINAL 9.29.25) (9/29/2025)

Regulatory assets under management

Total Number of Accounts	826
AUM (Assets Under Management)	$ 196,842,156

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.

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Charmaine V. Kaes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charmaine Valois Kaes's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK BROKERAGE SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH, INC.

ENSEMBLE FINANCIAL SERVICES, INC.

SIGNATOR INVESTORS, INC.

PARK AVENUE SECURITIES LLC

EQUITY SERVICES, INC.

GUARDIAN INVESTOR SERVICES LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

BLACKRIDGE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/25/2022

Series 63

Date: 8/15/1988

SIE

Date: 10/1/2018

Series 6

Date: 1/14/1987

FINRA

Current Firm

BLACKRIDGE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BLACKRIDGE ASSET MANAGEMENT, LLC

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