Kent G. Forsey

HILLSPRING FINANCIAL

SURPRISE, AZ 85378

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CRD#: 1514412

Professional summary

Kent Garry Forsey, CFP®, who also goes by Kent Forsey, is a registered financial advisor currently at HILLSPRING FINANCIAL, INC. located in Surprise, Arizona.

Kent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Kent has worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kent Forsey

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.

(1)Independently licensed to sell insurance (2)las Dunas Lot 93, LLC/ Las Dunas Lot 11, LLC/ Coast of Mexico, LLC/ Castle at Cortez, LLC/ Las Dunas Storage, LLC; Not investment related. Owner; for individual real estate investing; 01/2023; Less than 1 hour Month; maintain books and records. (2) Sandridge Investments, LLC; No; Rapid City, SD; Investing of trust assets; Manager; 01/2024; Less than 1% of time a month; Less than 1% of time during security trading hours a month; reconcile books and records

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kent Garry Forsey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

October 20, 2010 - Present

HILLSPRING FINANCIAL, INC.

Office #1: 12213 W. Bell Road Suite 209, Surprise, AZ 85378

RIA

CRD#: 7471

NEW YORK, NY

Past

February 4, 1992 - February 27, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 14, 1987 - February 4, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 4, 1987 - October 19, 1987

SHERWOOD CAPITAL, INC.

CRD#: 10474

Past

July 23, 1986 - February 10, 1987

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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".

HILLSPRING FINANCIAL, INC.

CENTER FOR INVESTMENT MANAGEMENT, INC. | HILLSPRING FINANCIAL, INC.

CRD#: 113938 / SEC#: 801-130993

RIA

Registered Investment Advisory firm - (9/11/2024 Approved)

Arizona

Registered Investment Advisory firm - (9/20/2024 Terminated)

California

Registered Investment Advisory firm - (10/20/2024 Terminated)

Idaho

Registered Investment Advisory firm - (9/25/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/20/2024 Terminated)

Utah

Registered Investment Advisory firm - (9/20/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(10/21/2010)

IAR

Texas
(2/14/2019)

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 65

Date: 8/9/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/31/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/19/1986

General Securities Representative Examination

Current Firm

HILLSPRING FINANCIAL, INC.

CENTER FOR INVESTMENT MANAGEMENT, INC. | HILLSPRING FINANCIAL, INC.

CRD#: 113938 / SEC#: 801-130993

RIA

Registered Investment Advisory firm - (9/11/2024 Approved)

Arizona

Registered Investment Advisory firm - (9/20/2024 Terminated)

California

Registered Investment Advisory firm - (10/20/2024 Terminated)

Idaho

Registered Investment Advisory firm - (9/25/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/20/2024 Terminated)

Utah

Registered Investment Advisory firm - (9/20/2024 Terminated)

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Contact information

Main Address

12213 W. Bell Road Suite 209, Surprise, AZ 85378

Mailing Address

Phone number

(623) 583-6141

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A - SEC (3/5/2025)

Regulatory assets under management

Total Number of Accounts	641
AUM (Assets Under Management)	$ 154,788,350

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 G. Forsey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kent Garry Forsey's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

SHERWOOD CAPITAL, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

HILLSPRING FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/9/1995

Series 63

Date: 7/31/1986

Series 7

Date: 7/19/1986

Current Firm

HILLSPRING FINANCIAL, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HILLSPRING FINANCIAL, INC.

TRUST BUT VERIFY

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