Kent D. Sweat
Professional summary
Kent Duane Sweat was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kent is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Kent had worked at 8 firms, which includes INTERMOUNTAIN FINANCIAL SERVICES INC., RICHARDS INVESTMENTS, TRANSAMERICA FINANCIAL ADVISORS LLC, GUARDIAN INVESTOR SERVICES LLC, THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK, TRANSAMERICA SECURITIES SALES CORPORATION, TRANSAMERICA FINANCIAL ADVISORS INC., MONY SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 1995 - June 27, 2011
INTERMOUNTAIN FINANCIAL SERVICES, INC.
July 29, 1993 - April 1, 1995
RICHARDS INVESTMENTS
July 20, 1992 - July 29, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 27, 1990 - July 24, 1992
RICHARDS INVESTMENTS
August 11, 1989 - November 11, 1989
GUARDIAN INVESTOR SERVICES LLC
October 23, 1987 - August 2, 1989
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
March 6, 1987 - November 3, 1987
TRANSAMERICA SECURITIES SALES CORPORATION
February 1, 1986 - November 2, 1987
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 18, 1983 - August 2, 1989
MONY SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
INTERMOUNTAIN FINANCIAL SERVICES, INC.
CRD#: 15386 / SEC#: , 8-32109
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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