Kent S. Petty
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 Sherman Petty was a registered financial professional .
Kent is a previously registered financial professional and started their career in finance in 1999. Kent had worked at 8 firms and has passed the 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
May 25, 2010 - April 2, 2012
COREBRIDGE CAPITAL SERVICES, INC.
October 10, 2008 - April 29, 2010
AMERICAN CENTURY INVESTMENT SERVICES INC.
September 19, 2005 - September 20, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 16, 2004 - June 21, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
March 24, 2004 - October 25, 2004
JOHN HANCOCK DISTRIBUTORS LLC
May 21, 2001 - November 5, 2002
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
June 28, 2000 - May 11, 2001
STRONG INVESTMENTS, INC.
March 25, 1999 - June 16, 2000
NEUBERGER BERMAN MANAGEMENT LLC
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
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
