Joseph C. 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.
Joseph Charles Kent, who also goes by Joe Kent, Joseph C Kent, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1967. Joseph had worked at 12 firms and has passed the Series 63, PC, Series 000, Series 1, Series 00 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2002 - May 20, 2009
OPPENHEIMER & CO. INC.
October 4, 1991 - January 2, 2002
JOSEPHTHAL & CO., INC.
November 5, 1990 - October 22, 1991
JJC SECURITIES CO., INC.
June 3, 1988 - November 26, 1990
GRUNTAL & CO., L.L.C.
October 2, 1980 - April 21, 1988
PHILIPS, APPEL & WALDEN, INC.
November 3, 1978 - October 30, 1980
TUCKER ANTHONY INCORPORATED
December 2, 1976 - November 9, 1978
L. F. ROTHSCHILD & CO. INCORPORATED
July 2, 1976 - June 11, 1979
F. A. CHRISTENSEN, INC.
December 17, 1974 - January 21, 1977
BECKER SECURITIES INCORPORATED
January 2, 1974 - February 15, 1975
THOMSON MCKINNON SECURITIES INC.
February 13, 1973 - March 20, 1974
BACHE & CO INCORPORATED
November 1, 1967 - January 28, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
PC
Date: 12/21/1990
AMEX Put and Call ExamSeries 000
Date: 1/12/1968
General Securities Principal ExaminationSeries 1
Date: 5/25/1966
Registered Representative ExaminationSeries 00
Date: 7/12/1973
General Securities Principal ExaminationSeries 12
Date: 4/9/1973
NYSE Branch Manager ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
