Robert J. Kent
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.
Robert James Kent, who also goes by Bob Kent, James Kent, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1990. Robert had worked at 15 firms and has passed the Series 63, Series 65, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2023 - February 18, 2026
HANTZ FINANCIAL SERVICES, INC.
March 24, 2023 - February 18, 2026
HANTZ FINANCIAL SERVICES, INC.
September 18, 2020 - December 31, 2023
MAPLE CITY RETIREMENT GROUP, LLC
August 22, 2018 - September 20, 2018
FORSYTHE WEALTH MANAGEMENT, INC.
September 5, 2014 - August 24, 2016
CHADLER INVESTMENT ADVISORY SOLUTIONS, LLC
August 11, 2014 - September 9, 2014
OSAIC SERVICES, INC.
April 26, 2011 - September 11, 2012
KESTRA INVESTMENT SERVICES, LLC
March 24, 2011 - September 11, 2012
KESTRA INVESTMENT SERVICES, LLC
October 8, 2010 - October 25, 2010
FREEDOM ONE INVESTMENT ADVISORS, INC.
April 28, 2008 - July 27, 2009
KESTRA INVESTMENT SERVICES, LLC
January 24, 2007 - August 1, 2007
NYLIFE SECURITIES LLC
January 26, 2004 - April 21, 2005
MISSIONSQUARE RETIREMENT
December 15, 1998 - April 21, 2005
MISSIONSQUARE WEALTH MANAGEMENT
January 24, 1998 - September 25, 1998
OLD KENT FINANCIAL ADVISORS
April 11, 1996 - November 26, 1996
TD AMERITRADE, INC.
January 8, 1994 - January 18, 1995
FIDELITY BROKERAGE SERVICES LLC
October 29, 1991 - August 13, 1992
NBD BROKERAGE SERVICES, INC.
March 23, 1990 - August 9, 1991
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
HANTZ FINANCIAL SERVICES, INC.
CRD#: 46047 / SEC#: 801-106859, 8-51291
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
Series 7TO
Date: 6/9/2023
General Securities Representative ExaminationCurrent Firm
HANTZ FINANCIAL SERVICES, INC.
CRD#: 46047 / SEC#: 801-106859, 8-51291
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANTZ GROUP, INC. | PARENT COMPANY | |
| ARNOLD, DAVID JOSEPH | SENIOR VP | 6738208 |
| BEEBE, JOHN FREDERICK | SENIOR VP | 4151293 |
| ESCOBEDO, SAMANTHA TRACY | SENIOR VP | 6554885 |
| HANTZ, JOHN RUSSELL | DIRECTOR | 1462066 |
| HANTZ, KIMBERLY DIANE | DIRECTOR | 5109009 |
| HANTZ, LAUREN CHRISTINE | DIRECTOR | 6737867 |
| MACHCINSKI, JOHN FRANCIS | PRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER | 853028 |
| MCALEAR, THOMAS CRAIG | DIRECTOR | 7517087 |
| MCCLAIN, ROBERT MATTHEW | SENIOR VP | 4768883 |
| NATALE, ANTONIO ANDRE | VICE PRESIDENT OF ASSET MANAGEMENT | 4268947 |
| RACINE, JAMIE MILLER | SENIOR VP | 4585375 |
| REID, MICHAEL ORAS | SENIOR VP | 1923539 |
| SHEA, DAVID JOSEPH | DIRECTOR | 5109005 |
| SOPER, JEFFERY HAROLD | SENIOR VP | 2205971 |
| STEVENS, DANIEL JOSEPH | SENIOR VP | 5868523 |
| YAROCH, RENEE ANN | VP/CFO/FINOP/PRINCIPAL OPERATIONS OFFICER | 2040518 |
Regulatory assets under management
| Total Number of Accounts | 111,576 |
| AUM (Assets Under Management) | $ 7,817,501,016 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2023 |
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.
