Charles B. Kerker

QUINCY WELLS ADVISORS

Delmar, NY

Some features on this profile are disabled

CRD#: 1317057

Professional summary

Charles Bryant Kerker is a registered financial advisor currently at QUINCY WELLS ADVISORS, LLC located in Delmar, New York and GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Charles has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62, Series 6, Series 51 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Bryant Kerker'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

January 31, 2024 - Present

QUINCY WELLS ADVISORS, LLC

RIA

CRD#: 307477

Delmar, NY

Current

January 12, 2024 - Present

GREAT POINT CAPITAL LLC

Office #1: 200 West Jackson Blvd. Suite 1000, Chicago, IL 60606Office #2: 200 West Jackson Blvd. Suite 1000, Chicago, IL 60606

CRD#: 114203

Chicago, IL

Past

July 23, 2019 - November 3, 2023

PEAK BROKERAGE SERVICES, LLC

CRD#: 157045

Delmar, NY

Past

August 13, 1999 - July 2, 2019

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

COHOES, NY

Past

January 11, 1985 - August 20, 1999

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

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".

QUINCY WELLS ADVISORS, LLC

GREAT POINT ADVISORS, LLC | QUINCY WELLS ADVISORS, LLC

CRD#: 307477 / SEC#: 801-118231

RIA

Registered Investment Advisory firm - (3/16/2020 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

Colorado
(2/15/2024)

New York
(1/17/2024)

IAR

New York
(1/31/2024)

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: 5/11/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/22/2000

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 10/7/1989

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 1/5/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/1/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/20/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

QUINCY WELLS ADVISORS, LLC

GREAT POINT ADVISORS, LLC | QUINCY WELLS ADVISORS, LLC

CRD#: 307477 / SEC#: 801-118231

RIA

Registered Investment Advisory firm - (3/16/2020 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

200 W. Jackson Blvd. #1000, Chicago, IL 60606

Mailing Address

9000 Keystone Crossing 7th Floor, Indianapoli, IN 46240

Phone number

(312) 356-4875

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREAT POINT ADVISORS FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	149
AUM (Assets Under Management)	$ 45,094,304

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles B. Kerker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Bryant Kerker's CRS (Customer Relationship Summary).

Certified licenses

Experience

GREAT POINT CAPITAL LLC

PEAK BROKERAGE SERVICES, LLC

NEXT FINANCIAL GROUP, INC.

ADVANTAGE CAPITAL CORPORATION

Primary Firm SEC Registration

QUINCY WELLS ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/2023

Series 63

Date: 1/5/1985

SIE

Date: 10/1/2018

Series 7

Date: 5/22/2000

Series 62

Date: 10/7/1989

Series 6

Date: 1/5/1985

Series 51

Date: 6/1/2006

Series 24

Date: 9/20/2000

FINRA

Current Firm

QUINCY WELLS ADVISORS, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUINCY WELLS ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors