AK
Adam L. Kerstetter
CREWS & ASSOCIATES
Little Rock, AR 72212
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CRD#: 4932910
AK
Professional summary
Adam Lee Kerstetter is a registered financial professional currently at CREWS & ASSOCIATES, INC. located in Little Rock, Arkansas.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2005. Adam has worked at 6 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view Adam Lee Kerstetter'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
September 8, 2022 - Present
CREWS & ASSOCIATES, INC.
Office #1: 4007 N Rodney Parham Rd, Little Rock, AR 72212RIA
BD
CRD#: 8052
Little Rock, AR
Past
June 18, 2018 - August 24, 2022
D.A. DAVIDSON & CO.
BD
CRD#: 199
Boca Raton, FL
Past
January 31, 2014 - June 19, 2018
COHEN & COMPANY SECURITIES, LLC
BD
CRD#: 149758
BOCA RATON, FL
Past
February 9, 2009 - January 31, 2014
JVB FINANCIAL GROUP, LLC
BD
CRD#: 104412
BOCA RATON, FL
Past
June 2, 2006 - February 4, 2009
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
BOCA RATON, FL
Past
April 27, 2005 - February 4, 2009
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BOCA RATON, FL
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".
CREWS & ASSOCIATES, INC.
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
RIA
Registered Investment Advisory firm - SEC (10/10/2023 Approved)Arkansas
Registered Investment Advisory firm - SEC (8/24/2006 Approved)California
Registered Investment Advisory firm - SEC (3/24/2021 Approved)Louisiana
Registered Investment Advisory firm - SEC (2/14/2019 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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
Arizona(9/8/2022)
RR
Arkansas(9/8/2022)
RR
Colorado(9/8/2022)
RR
Florida(9/8/2022)
RR
Illinois(9/8/2022)
RR
Indiana(9/8/2022)
RR
Louisiana(4/2/2025)
RR
Maryland(4/2/2025)
RR
Massachusetts(9/8/2022)
RR
New Jersey(4/2/2025)
RR
New Mexico(9/8/2022)
RR
North Carolina(4/2/2025)
RR
Oregon(4/2/2025)
RR
Texas(9/8/2022)
RR
Virginia(4/2/2025)
RR
Washington(9/8/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CREWS & ASSOCIATES, INC.
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
RIA
Registered Investment Advisory firm - SEC (10/10/2023 Approved)Arkansas
Registered Investment Advisory firm - SEC (8/24/2006 Approved)California
Registered Investment Advisory firm - SEC (3/24/2021 Approved)Louisiana
Registered Investment Advisory firm - SEC (2/14/2019 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
4007 N Rodney Parham Rd, Little Rock, AR 72212
Mailing Address
4007 N Rodney Parham Rd, Little Rock, AR 72212
Phone number
(501) 907-2000
Established
Arkansas since 07/06/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
145
SEC notice filing (19 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREWS CORE HOLDING COMPANY | OWNER | |
| BEARDSLEY, SCOTT ARTHUR | SECRETARY OF THE BOARD | 2349866 |
| BUMPERS, JOSEPH PARROTT | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 4336359 |
| CLAY, DENNIS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | 1233857 |
| JONES, JAMES STEPHEN | PRESIDENT, DIRECTOR | 502536 |
| MEYER, DAMON CHRISTIAN | CHIEF COMPLIANCE OFFICER | 4133916 |
Regulatory assets under management
| Total Number of Accounts | 336 |
| AUM (Assets Under Management) | $ 149,386,233 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
