Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
BRIAN HAROLD KERTZ
CRD#: 2464023
IA
Investment Adviser
B
Previous Broker
JONES KERTZ & ASSOCIATES, INC.CRD#: 104976 9298 CENTRAL AVE NE
SUITE 210
BLAINE, MN 55434
Registration History
19952000200520102015202020252 FIRMS1996 - 2000 (3 years)IAJONES KERTZ & ASSOCIATES, INC. (CRD# 104976)2014 - Present (11 years)BWIC CORP. (CRD# 17510)2000 - 2020 (19 years)BPRIMEVEST FINANCIAL SERVICES, INC. (CRD# 15340)1994 - 1996 (2 years)
License(s)

State Registrations

IA
California 3/25/2016
IA
Texas 5/10/2021
IA
Minnesota 1/17/2014
Current Registration(s)
IA
JONES KERTZ & ASSOCIATES, INC. (CRD#:104976)
9298 CENTRAL AVE NE SUITE 210, BLAINE, MN 55434
Registered with this firm since 1/17/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 06/07/2000 - 01/31/2020 WIC CORP. (CRD#:17510) MINNEAPOLIS, MN
B
 07/23/1996 - 06/27/2000 C.R.I. SECURITIES, INC. (CRD#:22589) ST. PAUL, MN
B
 07/23/1996 - 06/09/2000 ASCEND FINANCIAL SERVICES, INC. (CRD#:15296) ST. PAUL, MN
B
 03/16/1994 - 07/15/1996 PRIMEVEST FINANCIAL SERVICES, INC. (CRD#:15340) ST. CLOUD, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.