Charles W. Kern

PILOT INVESTMENT SERVICES

Greensboro, NC

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CRD#: 2404048

Professional summary

Charles William Kern III, who also goes by Charles Kern, Chuck Kern III, is a registered financial advisor currently at PILOT INVESTMENT SERVICES, LLC located in Greensboro, North Carolina.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Charles has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 31, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles Kern | Chuck Kern Iii

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.

Department of Treasury located in Charlotte, NC. Position is Auditor. Not investment related. Start of outside employment is Sep 17, 2017. Approximate hours/month are 160 of which 6 hours/day are during trading hours. Duties involve auditing for the Department of Treasury.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles William Kern III's 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

September 10, 2015 - Present

PILOT INVESTMENT SERVICES, LLC

RIA

CRD#: 277155

Greensboro, NC

Past

August 28, 2015 - September 9, 2015

PILOT INVESTMENT SERVICES, LLC

RIA

CRD#: 277155

Jamestown, NC

Past

May 17, 2013 - August 28, 2015

DANNY FONTANA ENTERPRISES D/B/A PILOT PORTFOLIO MANAGEMENT

RIA

CRD#: 161777

CHARLOTTE, NC

Past

January 2, 2013 - March 7, 2013

BB&T SECURITIES, LLC

CRD#: 142785

CHARLOTTE, NC

Past

October 22, 2010 - January 24, 2013

SCOTT & STRINGFELLOW, LLC

RIA

CRD#: 6255

CHARLOTTE, NC

Past

October 15, 2010 - January 2, 2013

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

CHARLOTTE, NC

Past

December 31, 2001 - October 20, 2010

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

GREENSBORO, NC

Past

September 3, 1999 - October 20, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

GREENSBORO, NC

Past

November 9, 1993 - September 14, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(9/10/2015)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/23/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 7/26/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 2/6/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/8/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 4/26/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

PILOT INVESTMENT SERVICES, LLC

CRD#: 277155 / SEC#:

North Carolina

Registered Investment Advisory firm - (8/5/2015 Approved)

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Contact information

Main Address

Greensboro, NC

Mailing Address

Phone number

(336) 870-5379

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 1,500,000

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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Advisor Monitoring

Firm Stability Insights

Charles W. Kern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles William Kern III's CRS (Customer Relationship Summary).

Certified licenses

Experience

PILOT INVESTMENT SERVICES, LLC

DANNY FONTANA ENTERPRISES D/B/A PILOT PORTFOLIO MANAGEMENT

BB&T SECURITIES, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 3/23/2013

Series 63

Date: 12/15/1993

Series 3

Date: 7/26/2001

Series 31

Date: 2/6/1995

Series 7

Date: 11/8/1993

Series 8

Date: 4/26/1999

Current Firm

PILOT INVESTMENT SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PILOT INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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