BK
Brian H. Kertz
JONES KERTZ & ASSOCIATES
Blaine, MN 55434
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CRD#: 2464023
BK
Professional summary
Brian Harold Kertz is a registered financial advisor currently at JONES KERTZ & ASSOCIATES, INC. located in Blaine, Minnesota.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Brian has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 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.
WCM INC. (D/B/A WCMI)
100 NORTH 6TH STREET
SUITE 620B
MINNEAPOLIS, MN 55403
PH: (612) 341-2218
I AM AN EMPLOYEE OF WCMI AND A REGISTERED REPRESENTATIVE/PRINCIPAL OF WIC CORP. WIC CORP. IS A WHOLLY-OWNED SUBSIDIARY OF WCMI.
WCMI IS AN INVESTMENT ADVISORY FIRM WHICH PROVIDES PROFESSIONAL INVESTMENT PORTFOLIO MANAGEMENT FOR A BROAD RANGE OF INVESTORS. WCM INC. CONDUCTS SECURITIES TRANSACTIONS FOR CLIENTS THROUGH WIC CORP.
POSITION: SR. OPERATIONS MANAGER
START DATE: JUNE 5, 2000
APPROXIMATE AMOUNT OF TIME DEVOTED TO EACH BUSINESS: WCMI: 75%, WIC CORP. 25%
CRS (Client Relationship Summary) - RIA
Click below to view Brian Harold Kertz'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®
NoneExperience
Current
January 17, 2014 - Present
JONES KERTZ & ASSOCIATES, INC.
Office #1: 9298 Central Ave Ne Suite 210, Blaine, MN 55434RIA
CRD#: 104976
Blaine, MN
Past
June 7, 2000 - January 31, 2020
WIC CORP.
BD
CRD#: 17510
MINNEAPOLIS, MN
Past
July 23, 1996 - June 9, 2000
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
July 23, 1996 - June 27, 2000
CRI SECURITIES, LLC
BD
CRD#: 22589
ST. PAUL, MN
Past
March 16, 1994 - July 15, 1996
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
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".
JK
JONES KERTZ & ASSOCIATES, INC.
JONES KERTZ & ASSOCIATES, INC. | WIC CORP. | WHITTLINGER CAPITAL MANAGEMNT INC | WHITTLINGER CAPITAL MANAGEMENT INC | WCMI | WCM, INC.
CRD#: 104976 / SEC#: 801-112613
RIA
Registered Investment Advisory firm - (3/19/2018 Approved)California
Registered Investment Advisory firm - (4/22/2018 Terminated)Minnesota
Registered Investment Advisory firm - (3/26/2018 Terminated)Oregon
Registered Investment Advisory firm - (4/5/2018 Terminated)Texas
Registered Investment Advisory firm - (3/23/2018 Terminated)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
California(3/25/2016)
IAR
Minnesota(1/17/2014)
IAR
Texas(5/10/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/19/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
JK
JONES KERTZ & ASSOCIATES, INC.
JONES KERTZ & ASSOCIATES, INC. | WIC CORP. | WHITTLINGER CAPITAL MANAGEMNT INC | WHITTLINGER CAPITAL MANAGEMENT INC | WCMI | WCM, INC.
CRD#: 104976 / SEC#: 801-112613
RIA
Registered Investment Advisory firm - (3/19/2018 Approved)California
Registered Investment Advisory firm - (4/22/2018 Terminated)Minnesota
Registered Investment Advisory firm - (3/26/2018 Terminated)Oregon
Registered Investment Advisory firm - (4/5/2018 Terminated)Texas
Registered Investment Advisory firm - (3/23/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9298 Central Ave Ne Suite 210, Blaine, MN 55434
Mailing Address
Phone number
(612) 341-2218
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 47 |
| AUM (Assets Under Management) | $ 206,174,804 |
Red Flags
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Company Information
JONES KERTZ & ASSOCIATES, INC.
CRD#: 104976Blaine, MN 55434TRUST BUT VERIFY
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Contact information
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