Kirk C. Gent
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.
Kirk Charles Gent was a registered financial advisor .
Kirk is a previously registered financial advisor and started their career in finance in 1993. Kirk had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 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
October 1, 2014 - November 21, 2014
REGAL INVESTMENT ADVISORS LLC
February 16, 2010 - January 28, 2015
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
October 31, 2005 - February 18, 2010
OSAIC SERVICES, INC.
July 1, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
September 7, 2004 - July 5, 2005
ALLSTATE FINANCIAL SERVICES, LLC
August 23, 2001 - November 21, 2001
NATCITY INSURANCE SERVICES, INC.
May 25, 2000 - August 23, 2000
NATCITY INSURANCE SERVICES, INC.
June 4, 1999 - August 18, 2004
NATCITY INVESTMENTS, INC.
November 26, 1997 - June 3, 1999
OLD KENT FINANCIAL ADVISORS
October 24, 1997 - November 12, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 1995 - November 6, 1995
CITIGROUP GLOBAL MARKETS INC.
June 28, 1993 - April 7, 1995
FMB INVESTMENT SERVICES
Primary Firm SEC Registration
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
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
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
Contact information
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
