Kent W. Helgeson
Professional summary
Kent William Helgeson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kent is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Kent had worked at 9 firms, which includes THE O.N. EQUITY SALES COMPANY, U.S. GROWTH INVESTMENTS INC., ALLSTATE FINANCIAL SERVICES LLC, CETERA WEALTH SERVICES LLC, LINCOLN FINANCIAL DISTRIBUTORS INC., DELPHI FINANCIAL CORP., SUNAMERICA SECURITIES INC., SOUTHMARK FINANCIAL SERVICES INC., R.C. WILLIAMS CAPITAL & SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2002 - August 19, 2003
THE O.N. EQUITY SALES COMPANY
February 12, 1999 - April 23, 2002
U.S. GROWTH INVESTMENTS, INC.
March 8, 1995 - June 19, 1997
ALLSTATE FINANCIAL SERVICES, LLC
March 21, 1993 - March 3, 1995
CETERA WEALTH SERVICES, LLC
July 2, 1992 - February 11, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 8, 1990 - June 26, 1992
DELPHI FINANCIAL CORP.
June 18, 1989 - December 31, 1989
SUNAMERICA SECURITIES, INC.
August 3, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
August 25, 1987 - August 9, 1988
R.C. WILLIAMS CAPITAL & SECURITIES CORP.
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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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