Kent C. Hiemenz
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 Christopher Hiemenz, who also goes by Chris Hiemenz, was a registered financial advisor .
Kent is a previously registered financial advisor and started their career in finance in 1985. Kent had worked at 4 firms and has passed the Series 65, Series 63, Series 7 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
May 10, 2012 - February 26, 2014
COMMERCE BROKERAGE SERVICES, INC.
May 9, 2012 - February 26, 2014
COMMERCE BROKERAGE SERVICES, INC.
May 24, 2010 - January 27, 2012
MORGAN STANLEY
April 22, 2010 - January 27, 2012
MORGAN STANLEY
June 20, 1997 - February 19, 2010
NORTHERN TRUST SECURITIES, INC.
July 29, 1993 - June 18, 1996
INVEST FINANCIAL CORPORATION
December 7, 1988 - May 10, 1996
NORTHERN TRUST SECURITIES, INC.
February 21, 1985 - December 6, 1988
INVEST FINANCIAL CORPORATION
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
COMMERCE BROKERAGE SERVICES, INC.
CRD#: 17140 / SEC#: 801-66509, 8-35096
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMERCE BANK | SOLE STOCKHOLDER | |
| CHMELKA, JOHN EMIL | PRINCIPAL OPERATIONS OFFICER | 2052962 |
| HARMON, THOMAS DARIN | PRESIDENT/CHIEF EXECUTIVE OFFICER | 7787415 |
| MOWER, MATHEW ROBERT | SENIOR VICE PRESIDENT | 3176197 |
| REECE, JOSEPH STEVEN | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 2227282 |
| ROWE, MARGARET | CORPORATE SECRETARY | 7576973 |
| SIMPSON, TIFFANY LYNN | TREASURER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 6685507 |
| SWANSON, ERIK ANDREW | EXECUTIVE VICE PRESIDENT | 4170204 |
Regulatory assets under management
| Total Number of Accounts | 3,570 |
| AUM (Assets Under Management) | $ 650,363,405 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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