Gerald A. Kerns
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gerald Arthur Kerns was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1970. Gerald had worked at 12 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2005 - November 6, 2006
VOYA FINANCIAL ADVISORS, INC.
March 7, 2000 - December 2, 2003
AMERITAS INVESTMENT COMPANY, LLC
November 7, 1994 - May 25, 1999
LOCUST STREET SECURITIES, INC.
September 4, 1985 - September 1, 1993
MARKETING ONE SECURITIES, INC.
September 20, 1984 - July 15, 1985
HIMCO DISTRIBUTION SERVICES COMPANY
August 30, 1982 - October 25, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
June 15, 1974 - December 3, 1977
HIMCO DISTRIBUTION SERVICES COMPANY
April 10, 1974 - March 26, 1976
WOODBURY FINANCIAL SERVICES, INC.
April 3, 1972 - April 21, 1974
KMS FINANCIAL SERVICES, INC.
February 23, 1972 - April 22, 1973
ITT FAMILY SECURITY SALES CORPORATION
February 23, 1972 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
October 27, 1970 - September 24, 1972
CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY
May 1, 1970 - May 17, 1972
INDUSTRY SAVINGS PLANS, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 4/14/1970
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
