KG
Kenneth J. Gertie
PTS BROKERAGE
Cinnaminson, NJ 08077
Some features on this profile are disabled
CRD#: 4609062
KG
Professional summary
Kenneth J Gertie, who also goes by Kenneth John Gertie, Kenneth Gertie, is a registered financial advisor currently at PTS BROKERAGE, LLC located in Cinnaminson, New Jersey.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Kenneth has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kenneth John Gertie | Kenneth Gertie
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) KENETH J GERTIE CPA POSITION: Owner NATURE: Accounting and Tax preparation services for individuals and small businesses. INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 02/04/1990 ADDRESS: 740 Route 130, Cinnaminson NJ 08077, United States DESCRIPTION: Client Contact, Service and firm administration 2) Ken Gertie Insurance Services / Sole Proprietor / Insurance Sales (non-variable) / Not Investment Related / Start Date 01/01/2021 / 114 Sheraton Avenue, Cinnaminson, NJ 08077 / 2 hours per month & 2 hours during trading hours 3) Gustgertricity Inc / Role: Officer / Not Investment Related / 740 Route 130 N, Cinnaminson, NJ 08077 / Nature: Development of alternative energy / Duties: Manage finances and provide creative thinking for advancement / Start Date: 10/2022 / # of hours 10 and 0 during trading
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth J Gertie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth J Gertie'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
February 14, 2021 - Present
PTS BROKERAGE, LLC
Office #1: 740 Route 130 N, Cinnaminson, NJ 08077RIA
BD
CRD#: 119307
Cinnaminson, NJ
Current
February 12, 2021 - Present
PTS BROKERAGE, LLC
Office #1: 740 Route 130 N, Cinnaminson, NJ 08077RIA
BD
CRD#: 119307
Cinnaminson, NJ
Past
March 1, 2019 - January 8, 2021
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
CINNAMINSON, NJ
Past
March 1, 2019 - January 8, 2021
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
CINNAMINSON, NJ
Past
January 8, 2010 - March 1, 2019
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
CINNAMINSON, NJ
Past
January 8, 2010 - March 1, 2019
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
CINNAMINSON, NJ
Past
September 20, 2006 - November 18, 2009
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
CINNAMINSON, NJ
Past
June 29, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
MARLTON, NJ
Past
June 29, 2004 - November 18, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
MARLTON, NJ
Past
July 4, 2003 - July 1, 2004
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
SCHAUMBURG, IL
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
Delaware(3/1/2022)
RR
Florida(2/12/2021)
IAR
Florida(2/16/2021)
RR
New Jersey(2/12/2021)
IAR
New Jersey(2/16/2021)
RR
New York(2/12/2021)
IAR
New York(2/14/2021)
RR
Pennsylvania(2/12/2021)
IAR
Pennsylvania(2/16/2021)
RR
Texas(11/24/2021)
RR
Virginia(2/3/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PB
PTS BROKERAGE, LLC
PROFESSIONAL TRADING SERVICES BROKERAGE, LLC | PTS BROKERAGE, LLC
CRD#: 119307 / SEC#: , 8-65173
Delaware
Registered Investment Advisory firm - SEC (2/22/2024 Approved)Florida
Registered Investment Advisory firm - SEC (11/30/2011 Approved)Maryland
Registered Investment Advisory firm - SEC (4/29/2024 Approved)New Jersey
Registered Investment Advisory firm - SEC (6/25/2004 Approved)New York
Registered Investment Advisory firm - SEC (9/26/2011 Approved)North Carolina
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (8/25/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
125 Gaither Drive 125 C Gaither Dr, Mt. Laurel, NJ 08054
Mailing Address
125 Gaither Drive Suite C, Mount Laurel, NJ 08054-1706
Phone number
(856) 802-9400
Established
New Jersey since 10/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
20
FINRA licenses (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 106,900,000 |
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.
