Kent A. Whitaker

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CRD#: 1290319

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 Alexander Whitaker, who also goes by Kent A Whitaker, was a registered financial professional .

Kent is a previously registered financial professional and started their career in finance in 1984. Kent had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kent A Whitaker

Other business activities

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 4, 2010 - April 24, 2026

H. M. PAYSON & CO.

RIA

CRD#: 2993

PORTLAND, ME

Past

December 6, 2002 - March 29, 2004

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PORTLAND, ME

Past

October 1, 1999 - March 29, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

October 28, 1996 - February 7, 1997

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 17, 1986 - November 19, 1996

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

January 29, 1985 - May 16, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

August 1, 1984 - October 17, 1984

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

H. M. PAYSON & CO.

H. M. PAYSON & CO. | H.M. PAYSON & CO. | H.M. PAYSON

CRD#: 2993 / SEC#: 801-3901, 8-2205

RIA

Registered Investment Advisory firm - SEC (1/15/1966 Approved)

Terminated by SEC on 12/19/2008

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/4/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/30/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/31/1984

Investment Company Products/Variable Contracts Representative Examination

Current Firm

H. M. PAYSON & CO.

H. M. PAYSON & CO. | H.M. PAYSON & CO. | H.M. PAYSON

CRD#: 2993 / SEC#: 801-3901, 8-2205

RIA

Registered Investment Advisory firm - SEC (1/15/1966 Approved)

Terminated by SEC on 12/19/2008

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Contact information

Main Address

One Portland Square 5th Floor, Portland, ME, 04101

Mailing Address

Po Box 31, Portland, ME 04112

Phone number

(207) 772-3761

Established

Maine since 01/01/1987

Firm type

Corporation

Fiscal year end

April

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 3.27.25 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
CURRIE, MICHAEL ROBERT	MANAGING DIRECTOR & PRESIDENT	2880899
DOWNING, JOHN CLAYTON	MANAGING DIRECTOR & TREASURER & CHIEF COMPLIANCE OFFICER	1227358
ESPOSITO, TERESA MARGARET	MANAGING DIRECTOR & CHIEF OPERATIONS OFFICER	2729388
KNOX, JOHN CLEVELAND	MANAGING DIRECTOR	824859
PIERCE, THOMAS MADIGAN	MANAGING DIRECTOR	819198
ROBBINS, PETER ELIOT	MANAGING DIRECTOR & CHAIR EXECUTIVE COMMITTEE	1022085
WALKER, JOHN HERMAN	MANAGING DIRECTOR & CHAIRMAN OF THE BOARD	457194
WEICKERT, WILLIAM NELSON JR	MANAGING DIRECTOR & SECRETARY & DIRECTOR OF RESEARCH	1046321
BELIVEAU, JOHN SEVERIN	MANAGING DIRECTOR	2044870
HARRIS, JOEL SHOREY	MANAGING DIRECTOR	1028770

Regulatory assets under management

Total Number of Accounts	4,190
AUM (Assets Under Management)	$ 8,129,599,283

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/22/2025	Cover Page	Report
12/20/2024	Cover Page	Report
11/16/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Kent A. Whitaker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

H. M. PAYSON & CO.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

A. G. EDWARDS & SONS, INC.

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

H. M. PAYSON & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/4/2002

Series 63

Date: 10/12/1999

Series 7

Date: 9/30/1999

Series 6

Date: 7/31/1984

Current Firm

H. M. PAYSON & CO.

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

H. M. PAYSON & CO.

TRUST BUT VERIFY

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