Richard E. 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.
Richard Ethan Kent, who also goes by Dick Kent, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 10 firms and has passed the Series 63, Series 5, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 1997 - May 11, 1998
ANDREW GARRETT, INC.
May 13, 1997 - June 11, 1997
CELADON FINANCIAL GROUP LLC
June 21, 1991 - February 28, 1997
FAB SECURITIES OF AMERICA, INC.
May 19, 1989 - June 20, 1991
WELLMONT SECURITIES, L.P.
June 2, 1982 - May 11, 1989
SCHRODER & CO. INC.
December 27, 1979 - August 30, 1982
MORGAN STANLEY DW INC.
October 18, 1978 - June 21, 1979
CIBC WORLD MARKETS CORP.
April 19, 1977 - October 29, 1978
DRYSDALE SECURITIES CORPORATION
February 19, 1976 - May 7, 1977
TP ICAP GLOBAL MARKETS AMERICAS LLC
August 1, 1972 - December 17, 1975
M I FRIEDMAN & CO
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 5
Date: 10/14/1981
Interest Rate Options ExaminationSeries 1
Date: 7/26/1972
Registered Representative ExaminationCurrent Firm
ANDREW GARRETT, INC.
CRD#: 36250 / SEC#: , 8-47180
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
