Herbert D. Fentress
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.
Herbert Duke Fentress was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1989. Herbert had worked at 8 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2010 - December 2, 2015
GUARDIAN CAPITAL ADVISORS, LLC
July 13, 2009 - December 31, 2012
TRIAD ADVISORS LLC
March 15, 2006 - July 13, 2009
COMMONWEALTH FINANCIAL NETWORK
April 2, 1997 - March 15, 2006
CAPITAL INVESTMENT BROKERAGE, INC.
January 26, 1996 - April 9, 1997
CAPITAL INVESTMENT GROUP, INC.
May 23, 1994 - January 29, 1996
INTERVEST INTERNATIONAL EQUITIES CORPORATION
April 6, 1992 - May 23, 1994
PROGRAMMED EQUITIES CORPORATION
December 18, 1989 - April 10, 1992
SECURITIES SERVICE NETWORK, LLC
State Registrations and Notice Filings
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Exams
Current Firm
GUARDIAN CAPITAL ADVISORS, LLC
CRD#: 150636 / SEC#: 801-70314
Contact information
Red Flags
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