Charles E. Trent
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.
Charles Evans Trent, who also goes by Charlie Trent, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2016 - December 31, 2016
KESTRA ADVISORY SERVICES, LLC
February 19, 2013 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
February 19, 2013 - December 31, 2016
KESTRA INVESTMENT SERVICES, LLC
April 4, 1996 - January 17, 2013
G & W EQUITY SALES, INC.
October 11, 1995 - January 17, 2013
G & W EQUITY SALES, INC.
September 8, 1994 - August 2, 1995
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
August 26, 1991 - February 21, 1994
MISSIONSQUARE INVESTMENT SERVICES
April 1, 1991 - September 5, 1991
CADARET, GRANT & CO., INC.
November 15, 1984 - May 3, 1991
FORTH FINANCIAL SECURITIES, CORPORATION
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
