Lawrence V. 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.
Lawrence Vincent Kent, who also goes by Larry Kent, was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1973. Lawrence had worked at 10 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2013 - September 9, 2013
M HOLDINGS SECURITIES, INC.
April 29, 2005 - August 11, 2011
THE O.N. EQUITY SALES COMPANY
December 12, 2000 - August 2, 2004
M HOLDINGS SECURITIES, INC.
February 17, 1998 - December 31, 2000
LOCUST STREET SECURITIES, INC.
June 12, 1996 - September 23, 1997
MUTUAL SERVICE CORPORATION
September 21, 1994 - June 19, 1996
JOHN HANCOCK DISTRIBUTORS LLC
June 25, 1986 - December 31, 1992
ALLIANZ LIFE FINANCIAL SERVICES, LLC
December 6, 1982 - May 25, 1984
METROPOLITAN LIFE INSURANCE COMPANY
November 27, 1973 - December 16, 1982
VERAVEST INVESTMENTS, INC.
November 27, 1973 - October 27, 1983
ALLMERICA FINANCIAL LIFE INSURANCE AND ANNUITY COMPANY
April 12, 1973 - December 21, 1973
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
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 1
Date: 4/9/1973
Registered Representative ExaminationCurrent Firm
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M FINANCIAL HOLDINGS INCORPORATED | EQUITY OWNER | |
| HANEY-JACKSON, LAURA ELIZABETH | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4771801 |
| LUDWIG, STEVEN CHARLES | CHIEF COMPLIANCE OFFICER | 2440911 |
| ROGERS, MARIA RENEE | PRINCIPAL FINANCIAL OFFICER | 2442526 |
| SCHOONMAKER, MICHAEL SKI | CHIEF EXECUTIVE OFFICER | 2408456 |
Regulatory assets under management
| Total Number of Accounts | 8,234 |
| AUM (Assets Under Management) | $ 4,078,516,284 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 11/13/2024 | ||
| 08/28/2023 |
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.
