AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CF

Christian Luke Fermin

PURSHE KAPLAN STERLING INVESTMENTS
Long Beach, CA 90803
Some features on this profile are disabled
CRD#: 7359047
CF

Professional summary

Christian Luke Fermin, who also goes by Christian Fermin, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Long Beach, California.

Christian Luke is registered as a RR (Registered Representative) and started their career in finance in 2022. Christian Luke has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christian Fermin

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. NAME OF OTHER BUSINESS: GODS VISION INC / CORNERSTONE CHURCH INVESTMENT RELATED: NO ADDRESS: 1000 N STUDEBAKER ROAD LONG BEACH CA NATURE OF BUSINESS: RELIGIOUS START DATE: 07/2015 POSITION/TITLE/RELATIONSHIP: YOUTH WORSHIP MINISTER APX NUMBER OF HOURS PER WEEK: 35 APX NUMBER OF HOURS DURING TRADING HOURS: 4 BRIEF DESCRIPTION OF DUTIES: I LEAD MUSICAL WORSHIP, PARTICIPATE ON THE PASTORAL LEADERSHIP TEAM, AND MENTOR STUDENTS. 2. NAME OF OTHER BUSINESS: LEGACY FINANCIAL INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 04/2021 POSITION/TITLE/RELATIONSHIP: ADMINISTRATIVE ASSISTANT APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 8 BRIEF DESCRIPTION OF DUTIES: ASSIST WITH ADMINISTRATIVE TASKS

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christian Luke Fermin's CRS (Customer Relationship Summary).
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

January 3, 2024 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 4821 E. 2nd Street, Long Beach, CA 90803
BD
CRD#: 35747
Long Beach, CA
Past

June 29, 2023 - December 31, 2023

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
CERRITOS, CA
Past

March 21, 2023 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
CERRITOS, CA
Past

August 13, 2022 - December 31, 2023

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
CERRITOS, CA

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
California
(1/3/2024)
RR
Minnesota
(3/8/2024)
RR
Missouri
(10/9/2024)
RR
Ohio
(3/10/2024)
RR
Texas
(3/8/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/17/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/28/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/24/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 8/12/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/1/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747Long Beach, CA 90803

TRUST BUT VERIFY

Monitor Christian Luke Fermin

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Jon Derek Neuhaus
Jon NeuhausAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
El Segundo, CA
Kenneth Hickman
Kenneth HickmanAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brea, CA
Barton S Pearce
Barton PearceAdvisorCheck Check Mark
PARK AVENUE SECURITIES LLC
IAR
RR
IRVINE, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics