CK
Charles M. Kerr
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Denver, CO 80246
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CRD#: 2695785
CK
Professional summary
Charles Macdonald Kerr IV, who also goes by Charles Macdonald (iv) Kerr, Charles Kerr, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Denver, Colorado and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Denver, Colorado.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Charles has worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, Series 62, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charles Macdonald (iv) Kerr | Charles Kerr
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) FINANCIAL PLANNING ALTERNATIVES, 501 S CHERRT ST 11TH FLOOR ENVER CO 80246, 04/2016, OWNING PARTNER/AGENT SELLING LIFE, LTC, FIXED ANNUITY, & DISABILITY PRODUCTS THROUGH VARIOUS INDEPENDENT INSURANCE COMPANIES. 40 HR/WK 12/TRADING 2) CIRA, 1776 PLEASANT PLAIN RD FAIRFIELD IA, 01/2013, AS ADVISORY REP OF A RIA. INV REL, 40 HR/WK 6/TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Charles Macdonald Kerr IV'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, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 501 S. Cherry St. Suite 1100, Denver, CO 80246RIA
CRD#: 134139
Denver, CO
Current
January 17, 2013 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 501 S. Cherry St. Suite 1100, Denver, CO 80246BD
CRD#: 39543
Denver, CO
Past
July 12, 2011 - January 7, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
GOLDEN, CO
Past
July 12, 2011 - January 7, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
GOLDEN, CO
Past
April 6, 2009 - July 14, 2011
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
LONGMONT, CO
Past
January 9, 2009 - July 13, 2011
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
DENVER, CO
Past
November 6, 2008 - January 30, 2009
OSAIC WEALTH, INC.
BD
CRD#: 23131
DENVER, CO
Past
August 3, 2006 - March 12, 2007
FIDELITY PERSONAL TRUST COMPANY, FSB
RIA
CRD#: 109516
LONE TREE, CO
Past
January 6, 2004 - March 12, 2007
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
LONE TREE, CO
Past
December 16, 2003 - March 12, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
LONE TREE, CO
Past
June 10, 2002 - April 8, 2003
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
November 3, 1997 - March 13, 2002
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
January 24, 1996 - October 23, 1997
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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.RR
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
RR
California(12/3/2021)
RR
Colorado(1/17/2013)
IAR
Colorado(1/17/2013)
RR
District of Columbia(2/15/2013)
RR
Florida(6/19/2014)
RR
Louisiana(9/17/2025)
RR
New Mexico(1/17/2013)
RR
New York(6/30/2025)
RR
North Carolina(11/7/2023)
IAR
North Carolina(11/9/2023)
RR
Virginia(8/27/2025)
IAR
Virginia(8/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/31/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
