Kent Robert Mcginnis
CFP®Professional Summary
Kent Robert Mcginnis, CFP® is a registered financial advisor currently at SPC located in Quincy, Illinois and SIGMA FINANCIAL CORPORATION located in Quincy, Illinois. Kent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Kent has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
Contact Information
Main Address
300 Parkland Plaza, Ann Arbor, MI 48103Phone Number
(734) 663-1611# of Employees
471SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
26,433AUM (Assets Under Management)
$6,102,465,817Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
PARKLAND SECURITIES, LLC | SPC | SIGMA PLANNING CORPORATION | SIGMA PLANNING CORP
State Registrations and Notice Filings
(2/1/2018)
(2/1/2018)
(1/31/2018)
(2/26/2018)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1982About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2000About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Apr 2000About the Series 9 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Apr 1998About the Series 26 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Kent Robert Mcginnis's CRS (Customer Relationship Summary).
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