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KC

Kenneth M. Cherrier

CAUSEWAY SECURITIES LLC
Hugo, MN
Some features on this profile are disabled
CRD#: 3135567
KC

Professional summary

Kenneth Michael Cherrier, who also goes by Ken Cherrier, is a registered financial professional currently at CAUSEWAY SECURITIES LLC located in Hugo, Minnesota.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1998. Kenneth has worked at 15 firms and has passed the Series 65, Series 66, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 51, Series 53, Series 4, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ken Cherrier

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) - BD

Click below to view Kenneth Michael Cherrier'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

December 4, 2025 - Present

CAUSEWAY SECURITIES LLC

BD
CRD#: 315829
Hugo, MN
Past

March 30, 2023 - November 10, 2025

FIDELITY & GUARANTY SECURITIES, LLC

BD
CRD#: 315720
Des Moines, IA
Past

September 19, 2019 - September 16, 2022

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
MINNEAPOLIS, MN
Past

September 18, 2019 - September 16, 2022

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
MINNEAPOLIS, MN
Past

October 13, 2017 - May 2, 2019

COMERICA SECURITIES

RIA
CRD#: 17079
DETROIT, MI
Past

October 11, 2017 - May 2, 2019

COMERICA SECURITIES

BD
CRD#: 17079
DETROIT, MI
Past

November 24, 2014 - May 1, 2017

IVY DISTRIBUTORS, INC.

BD
CRD#: 16496
OVERLAND PARK, KS
Past

February 8, 2010 - May 1, 2017

WADDELL & REED

RIA
CRD#: 866
OVERLAND PARK, KS
Past

February 8, 2010 - May 1, 2017

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

September 25, 2007 - April 6, 2009

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
WOODBURY, MN
Past

May 16, 2006 - August 1, 2007

FINTEGRA, LLC

RIA
CRD#: 16741
MINNEAPOLIS, MN
Past

October 14, 2002 - August 1, 2007

FINTEGRA, LLC

BD
CRD#: 16741
MINNEAPOLIS, MN
Past

February 20, 2001 - October 7, 2002

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

November 3, 2000 - February 12, 2001

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

February 15, 2000 - February 12, 2001

WELLS FARGO SECURITIES INC.

BD
CRD#: 17438
SAN FRANCISCO, CA
Past

February 14, 2000 - December 13, 2000

WELLS FARGO BROKERAGE SERVICES, L.L.C.

BD
CRD#: 16100
MINNEAPOLIS, MN
Past

October 19, 1999 - January 31, 2000

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

October 19, 1999 - January 31, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

November 5, 1998 - September 15, 1999

LUTHERAN BROTHERHOOD SECURITIES CORP.

BD
CRD#: 4205
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(1/5/2026)
RR
Arizona
(1/5/2026)
RR
Arkansas
(1/5/2026)
RR
California
(1/5/2026)
RR
Colorado
(1/5/2026)
RR
Connecticut
(1/5/2026)
RR
Delaware
(1/5/2026)
RR
District of Columbia
(1/5/2026)
RR
Florida
(1/5/2026)
RR
Georgia
(1/5/2026)
RR
Idaho
(1/5/2026)
RR
Illinois
(1/5/2026)
RR
Indiana
(1/5/2026)
RR
Iowa
(1/5/2026)
RR
Kansas
(1/5/2026)
RR
Kentucky
(1/5/2026)
RR
Louisiana
(1/5/2026)
RR
Maine
(1/5/2026)
RR
Maryland
(1/5/2026)
RR
Massachusetts
(1/5/2026)
RR
Michigan
(1/5/2026)
RR
Minnesota
(1/5/2026)
RR
Mississippi
(12/22/2025)
RR
Missouri
(1/5/2026)
RR
Montana
(1/5/2026)
RR
Nebraska
(1/5/2026)
RR
Nevada
(1/5/2026)
RR
New Hampshire
(1/5/2026)
RR
New Jersey
(1/5/2026)
RR
New Mexico
(1/5/2026)
RR
New York
(1/5/2026)
RR
North Carolina
(1/5/2026)
RR
North Dakota
(1/5/2026)
RR
Ohio
(1/5/2026)
RR
Oklahoma
(1/5/2026)
RR
Oregon
(1/5/2026)
RR
Pennsylvania
(1/5/2026)
RR
Rhode Island
(1/5/2026)
RR
South Carolina
(1/5/2026)
RR
South Dakota
(1/5/2026)
RR
Tennessee
(1/5/2026)
RR
Texas
(1/5/2026)
RR
Utah
(1/5/2026)
RR
Vermont
(1/5/2026)
RR
Virginia
(1/5/2026)
RR
Washington
(1/5/2026)
RR
West Virginia
(1/5/2026)
RR
Wisconsin
(1/5/2026)
RR
Wyoming
(1/5/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/24/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/16/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 3/30/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/2/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/2/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 2/20/2014
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/31/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/30/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/31/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/31/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/27/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAUSEWAY SECURITIES LLC
CAUSEWAY SECURITIES LLC

CRD#: 315829 / SEC#: , 8-70789

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
845 3rd Ave, Floor 6, New York, NY 10022
Mailing Address
845 3rd Ave, Floor 6, New York, NY 10022
Phone number
(224) 370-3769
Established
Florida since 06/25/2021
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAUSEWAY SECURITIES LIMITEDMEMBER
BRUDIE, DONALD THOMAS JRCEO2443236
GRAY, BENJAMIN NMNCCO1946982
ROTHENBERG, SHARI PCFO6590875

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.

Company Information

CAUSEWAY SECURITIES LLC

CRD#: 315829Hugo, MN

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