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KC

Kenneth Michael Cherrier

CAUSEWAY SECURITIES

Hugo, MN

·CRD# 3135567·28 years experience

Professional Summary

Kenneth Michael Cherrier, who also goes by Ken Cherrier, is a registered financial advisor 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...

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ken Cherrier

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

CAUSEWAY SECURITIES LLC·CRD# 315829

BD

Hugo, MN

December 4, 2025 - Present

FIDELITY & GUARANTY SECURITIES, LLC·CRD# 315720

BD

Des Moines, IA

March 30, 2023 - November 10, 2025

U.S. BANCORP INVESTMENTS, INC.·CRD# 17868

RIA

Minneapolis, MN

September 19, 2019 - September 16, 2022

U.S. BANCORP INVESTMENTS, INC.·CRD# 17868

BD

Minneapolis, MN

September 18, 2019 - September 16, 2022

COMERICA SECURITIES·CRD# 17079

RIA

Detroit, MI

October 13, 2017 - May 2, 2019

COMERICA SECURITIES·CRD# 17079

BD

Detroit, MI

October 11, 2017 - May 2, 2019

IVY DISTRIBUTORS, INC.·CRD# 16496

BD

Overland Park, KS

November 24, 2014 - May 1, 2017

WADDELL & REED·CRD# 866

RIA

Overland Park, KS

February 8, 2010 - May 1, 2017

WADDELL & REED·CRD# 866

BD

Overland Park, KS

February 8, 2010 - May 1, 2017

WOODBURY FINANCIAL SERVICES, INC.·CRD# 421

BD

Woodbury, MN

September 25, 2007 - April 6, 2009

FINTEGRA, LLC·CRD# 16741

RIA

Minneapolis, MN

May 16, 2006 - August 1, 2007

FINTEGRA, LLC·CRD# 16741

BD

Minneapolis, MN

October 14, 2002 - August 1, 2007

VOYA FINANCIAL ADVISORS, INC.·CRD# 2882

BD

Windsor, CT

February 20, 2001 - October 7, 2002

WELLS FARGO INVESTMENTS, LLC·CRD# 10582

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San Francisco, CA

November 3, 2000 - February 12, 2001

WELLS FARGO SECURITIES INC.·CRD# 17438

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San Francisco, CA

February 15, 2000 - February 12, 2001

WELLS FARGO BROKERAGE SERVICES, L.L.C.·CRD# 16100

BD

Minneapolis, MN

February 14, 2000 - December 13, 2000

IDS LIFE INSURANCE COMPANY·CRD# 6321

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Minneapolis, MN

October 19, 1999 - January 31, 2000

AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363

BD

Minneapolis, MN

October 19, 1999 - January 31, 2000

LUTHERAN BROTHERHOOD SECURITIES CORP.·CRD# 4205

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Minneapolis, MN

November 5, 1998 - September 15, 1999

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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)

Contact Information

Main Address

405 Lexington Avenue, Room 2613, New York, NY 10174

Mailing Address

405 Lexington Avenue, Room 2613, New York, MN 10174

Phone Number

(224) 370-3769

Established

Florida since 06/25/2021

Firm Type

Limited Liability Company

Fiscal Year End

September

Firm Size

Small

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
CAUSEWAY SECURITIES LIMITED	MEMBER	—
O'DONNELL, CONOR HUGH	CEO	7503902
CHERRIER, KENNETH MICHAEL	CCO	3135567
ROTHENBERG, SHARI P	CFO	6590875
WADDELL, ALLAN WHITTFIELD	CHIEF OPERATIONS OFFICER	6269115

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

FINRA Arbitrator; investment-related; no address: travel as an arbitrator; can be selected to sit in arbitrations within the FINRA arbitration system; am on a list of possible "industry related" aribrators and must be first selected by FINRA and then not struck by either party; 7/2005; on average, over one year's time, amounts to 1 hour/month (sit on one arbitration every two years); over one year's time, amounts to 1 hour/trading (sit on one arbitration every two years); prep, listen to, and pass a decision on FINRA arbitrations.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(1/5/2026)

RR

Alaska
(3/14/2026)

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

Hawaii
(3/14/2026)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2010About the Series 65 exam

Series 66 — Uniform Combined State Law Examination

Passed Dec 1999About the Series 66 exam

Series 99TO — Operations Professional Examination

Passed Mar 2023About the Series 99TO exam

Series 52TO — Municipal Securities Representative Examination

Passed Jan 2023About the Series 52TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1999About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 1998About the Series 6 exam

Series 51 — Municipal Fund Securities Principal Examination

Passed Feb 2014About the Series 51 exam

Series 53 — Municipal Securities Principal Examination

Passed May 2001About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed Mar 2001About the Series 4 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Oct 2000About the Series 10 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Oct 2000About the Series 9 exam

Series 24 — General Securities Principal Examination

Passed Jun 2000About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Kenneth Michael Cherrier's CRS (Customer Relationship Summary).

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KC

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