Kent W. Pridey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kent Waldene Pridey was a registered financial professional .
Kent is a previously registered financial professional and started their career in finance in 1983. Kent had worked at 3 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2005 - June 17, 2010
CAPWEST SECURITIES, INC.
January 28, 2003 - October 11, 2005
UNITED SECURITIES ALLIANCE, INC.
December 2, 1983 - July 17, 2002
FARMLAND SECURITIES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
CAPWEST SECURITIES, INC.
CRD#: 30002 / SEC#: , 8-44462
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE FINANCIAL GROUP, INC. | OWNER | |
| HALL, DALE KEITH | CEO, PRESIDENT, TREASURER, CFO, CCO, COO, DIRECTOR, | 706704 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 9 |
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.
