Gordon C. Kerr
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.
Gordon Charles Kerr JR, who also goes by Charles Kerr, Gordon Charles Kerr, Gordon Charles Kerr Jr Jr, was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 2001. Gordon had worked at 4 firms and has passed the Series 66, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2007 - January 10, 2014
CREDIT SUISSE SECURITIES (USA) LLC
May 13, 2004 - March 28, 2006
MORGAN STANLEY DW INC.
August 29, 2003 - April 26, 2004
WELLS FARGO INVESTMENTS, LLC
August 29, 2003 - April 26, 2004
WELLS FARGO INVESTMENTS, LLC
October 24, 2001 - September 16, 2003
LEHMAN BROTHERS INC.
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
Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
