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Michael Bruce Kentor

KENTOR FINANCIAL
AUSTIN, TX
·CRD# 268144·53 years experience

Professional Summary

Michael Bruce Kentor is a registered financial advisor currently at KENTOR FINANCIAL located in Austin, Texas and INTEGRITY ALLIANCE, LLC. located in Austin, Texas. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Michael has worked at 11 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

53 years in the financial services industry

Current & Past Employments

KENTOR FINANCIAL·CRD# 114996
RIA
1111 W. 6th Street Bldg A, Suite 440, Austin, TX 78703
November 26, 1997 - Present
INTEGRITY ALLIANCE, LLC.·CRD# 139627
RIA
BD
1. 1111 West Sixth Street Building A, Suite 440, Austin, TX 787032. Austin, TX
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.·CRD# 139627
RIA
BD
1111 West Sixth Street Building A, Suite 440, Austin, TX 78703
November 3, 2025 - Present
LION STREET ADVISORS, LLC·CRD# 167610
RIA
Austin, TX
August 7, 2018 - November 3, 2025
LION STREET FINANCIAL, LLC·CRD# 165828
BD
Austin, TX
August 1, 2018 - November 3, 2025
M HOLDINGS SECURITIES, INC.·CRD# 43285
RIA
Austin, TX
July 25, 2014 - February 23, 2018
M HOLDINGS SECURITIES, INC.·CRD# 43285
BD
Austin, TX
December 15, 2000 - February 23, 2018
WALNUT STREET SECURITIES, INC.·CRD# 15840
BD
El Segundo, CA
August 16, 1993 - December 31, 1996
MUTUAL SERVICE CORPORATION·CRD# 4806
BD
Boston, MA
July 9, 1992 - December 18, 2000
KAVANAUGH SECURITIES, INC.·CRD# 10606
BD
Dallas, TX
December 5, 1986 - July 1, 1992
KENTOR WAXMAN INVESTMENTS, INC.·CRD# 16305
BD
July 3, 1985 - December 20, 1986
INVESTORS BROKERAGE SERVICES, INC.·CRD# 4257
BD
June 8, 1982 - January 12, 1987
GENERAL AMERICAN LIFE INSURANCE COMPANY·CRD# 3963
BD
October 15, 1973 - December 18, 1986

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Current Firm

IA
INTEGRITY ALLIANCE, LLC.

18TH STREET FINANCIAL | YODER FINANCIAL GROUP | WMBURT ADVISORS | WEALTHADVISORS GROUP | WEALTH RX | WEALTH PLANNING CONSULTANTS | WEALTH FORMAT SYSTEM | WEALTH CENTERS OF AMERICA | WALLACH FINANCIAL | TRUENORTH FINANCIAL | TRITON WEALTH STRATEGIES | TRIO WEALTH ADVISORY | TRANDAI FINANCIAL SOLUTIONS | TR FINANCIAL GROUP | THE LIMPERT GROUP | THE IFP GROUP, INC | THE FINANCIAL GROUP OF PHILADELPHIA | THE FINANCIAL ARCHITECTS | THE COWART GROUP | SWANSON FINANCIAL | SUMNER FINANCIAL SOLUTIONS, LLC | STEWART WEALTH ADVISORS | SOLOMON WEALTH SOLUTIONS, LLC | SHONSEY WEALTH MANAGEMENT | SECURE RETIREMENT SOLUTIONS, LLC. | SAPIERS & WALLACK | ROAD TO RETIREMENT, INC | RICHARD OLSON FINANCIAL GROUP | RETIREMENT SOLUTIONS OF IOWA LLC | RETIREMENT RESOURCES USA, INC | RETIREMENT PLANNING ADVISORS | RETIREMENT DESIGNERS FINANCIAL GROUP, LLC | RETIREBYDESIGN | REIGNMAKERS WEALTH ADVISORS | REIDY FINANCIAL | REFINED STRATEGIES | PREMIER INVESTMENT ADVISORS GROUP | PMN FINANCIAL ASSOCIATES | PLANNINGKAMP | PERSPECTIVE WEALTH PLANNING | PEARCE FINANCIAL SERVICES | PEAK360 WEALTH MANAGEMENT | PARADIGM GILBERT | PALOMA FINANCIAL SERVICES | OZARK FINANCIAL SERVICES OF NWA, INC. | OLIVE TREE WEALTH MANAGEMENT | OAKMONT GROUP | NATIONAL INVESTORS INC. | MONEY ADVISORS GROUP, INC. | MJ FINANCIAL SERVICES | MICHAEL J LUCIA & ASSOCIATES | MEDLOCK WEALTH MANAGEMENT | MCCANN ASSET MANAGEMENT | MARTINI FINANCIAL SERVICES | M2 (SQUARED) WEALTH MANAGEMENT | LONE WOLF FINANCIAL | LISLE FINANCIAL GROUP | LIGHTHOUSE PLANNING GROUP | LIGHTHOUSE AGENCY INC | LIFE INCOME MANAGEMENT | LEGEND WEALTH MANAGEMENT | LAMB FINANCIAL SERVICES | L LOVIE WEALTH MANAGEMENT | KRATZER ADVISORY GROUP LLC | KLYN FINANCIAL | KANAVY FINANCIAL GROUP, LLC | JONES FINANCIAL SOLUTIONS | JML FINANCIAL GROUP | JETT WEALTH MANAGEMENT | JDJ FINANCIAL GROUP | J.C. WARRICK & COMPANY | ISLAND WEALTH ADVISORS, LLC | INVESTMENT RESOURCES OF AMERICA | INTELLECTUAL BUSINESS SOLUTIONS, LLC | INTEGRITY WEALTH | INTEGRITY ALLIANCE, LLC. | INTEGRITY ALLIANCE, LLC | INCOME AND ESTATE PLANNING PARTNERS | HR WEALTH MANAGEMENT | HOWARD AND HOWARD, LLC. | HOOSIER ADVISOR AND ASSOCIATES | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | GREMLER WEALTH MANAGEMENT | GREAT RIVER INVESTMENT SERVICES, LLC. | GATEWAY RETIREMENT SOLUTIONS | GARDNER BROWN ASSOCIATES, INC | FUNDAMENTAL VALUE ANALYTICS | FREEDOM WEALTH GROUP | FREDERICKS WEALTH MANAGEMENT | FREDERICK W. STANSBERRY SOLUTIONS | FORESIGHT FINANCIAL GROUP | FLAH & COMPANY | FIORE TAX AND WEALTH MANAGEMENT | FINLEY DAVIS FINANCIAL GROUP | FINANCIAL INTEGRITY GROUP | FINANCIAL & ESTATE PLANNING SERVICES | FELICIANO FINANCIAL GROUP | ESCOBAR FINANCIAL SERVICES | EGHRARI WEALTH | E.R. INIGUEZ FINANCIAL GROUP | DUKE FINANCIAL PARTNERS, LLC | DENTDELIOUN, LLC | DANNY HORN FINANCIAL | CURTIS & ASSOCIATES, INC | CREUTZER FINANCIAL GROUP | CRESCENT WEALTH MANAGEMENT | COVERAGE SOLUTIONS | CONSOLIDATED FINANCIAL MANAGEMENT & TAX SERVICE | CG FINANCIAL GROUP | CARRICK FINANCIAL GROUP | CAPITAL PROTECT GROUP | CAPITAL GROUP, INC | CALIBRATE WEALTH PARTNERS | BRYTON FINANCIAL | BRUNO FINANCIAL SERVICES | BROWN FINANCIAL SERVICES | BROKERS INTERNATIONAL MOUNTAIN STATES | BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. | BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC | BROKERS FINANCIAL | BROCK FINANCIAL SERVICES | BRIDGE PARTNERS | BRANDT FINANCIAL SERVICES, INC. | BLUFFVIEW INSURANCE GROUP | BI FINANCIAL SERVICES | BELL FINANCIAL | B.I. FINANCIAL AND INSURANCE SERVICES, LLC | ARREOLA FINANCIAL | ARISGARDE | AMERICAN ACADEMY WEALTH | AFFLUENT WEALTH MANAGEMENT | AARON M SMITH FINANCIAL GROUP | 22ND STATE WEALTH MANAGEMENT

CRD#: 139627 / SEC#: 801-69742, 8-67239
RIA
Registered Investment Advisory firm - SEC (11/14/2008 Approved)
Arizona
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Arkansas
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
California
Registered Investment Advisory firm - SEC (11/21/2008 Terminated)
Colorado
Registered Investment Advisory firm - SEC (12/17/2008 Terminated)
Delaware
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
District of Columbia
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Florida
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Georgia
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Idaho
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)
Illinois
Registered Investment Advisory firm - SEC (11/14/2008 Terminated)
Indiana
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Iowa
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)
Kansas
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (11/18/2008 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Maine
Registered Investment Advisory firm - SEC (4/15/2008 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (11/24/2008 Terminated)
Mississippi
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Missouri
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Montana
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Nebraska
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)
Nevada
Registered Investment Advisory firm - SEC (11/25/2008 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
North Dakota
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Ohio
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Oklahoma
Registered Investment Advisory firm - SEC (12/23/2008 Terminated)
Oregon
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (11/21/2008 Terminated)
Rhode Island
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
South Dakota
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Texas
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Virgin Islands
Registered Investment Advisory firm - SEC (7/17/2012 Terminated)
Virginia
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Washington
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
West Virginia
Registered Investment Advisory firm - SEC (11/18/2008 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

4135 Nw Urbandale Dr, Urbandale, IA 50322

Mailing Address

4135 Nw Urbandale Dr, Urbandale, IA 50322

Phone Number

(877) 886-1939

Established

Delaware since 06/03/2021

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

# of Employees

400

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 INTEGRITY ALLIANCE WRAP PROGRAM (3/31/2026)

Direct owners and executive officers

NamePositionCRD#
AMERICAN INDEPENDENT MARKETING, LLCDIRECT OWNER—
AUKES, BRIAN EDWARDPRESIDENT2712193
BAKER, ANDREA KCHIEF FINANCIAL OFFICER/FINOP5533991
MERLA, CHRISTOPHER AARONHEAD OF OPERATIONS4790661
MUJDZIC, BELMAOPERATIONS DIRECTOR4629710
OSBY, ANDREW ALLENCHIEF INVESTMENT OFFICER4202621
STOCKMAN, MICHELLE RENEECHIEF COMPLIANCE OFFICER5010490

Regulatory Assets Under Management

Total Number of Accounts

20,448

AUM (Assets Under Management)

$5,411,976,879

Disclosures

Regulatory Event

3

Arbitration

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) THE MICHAEL KENTOR COMPANY: dba Kentor Financial and The Kentor Company POSITION: Owner NATURE: Insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 3 START DATE: 08/16/1992 ADDRESS: 1111 W 6th Street, Bldg. A Suite 440, Austin TX 78703, United States DESCRIPTION: Sales & marketing of non-variable insurance 2)MICHAEL B KENTOR POSITION: Owner NATURE: Provide expert witness testimony INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/16/1992 ADDRESS: 1111 W 6th St, Bldg A Suite 440, Austin TX 78703, United States DESCRIPTION: Provide expert witness testimony 3) Lion Street Financial LLC, Registered Representative, Austin, TX, 07/2018 to Present, Investment Related, 25-30 hours a week during trading hours 4) Lion Street Advisors, LLC, Investment Adviser Representative, Austin, TX, 07/2018 to Present, Investment Related, 0-5 hours a week during trading hours. 5) THE MICHAEL KENTOR COMPANY: dba Kentor Financial and The Kentor Company POSITION: Owner NATURE: Investment Advisor Representative - The Michael Kentor Company dba Kentor Financial and The Kentor Company. INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 50 START DATE: 09/15/2000 ADDRESS: 1111 W 6th St, Bldg A, Suite 440, Austin TX 78703, United States DESCRIPTION: marketing, preparation of materials and meetings/reviews with IA clients.

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IA
INTEGRITY ALLIANCE, LLC.

18TH STREET FINANCIAL | YODER FINANCIAL GROUP | WMBURT ADVISORS | WEALTHADVISORS GROUP | WEALTH RX | WEALTH PLANNING CONSULTANTS | WEALTH FORMAT SYSTEM | WEALTH CENTERS OF AMERICA | WALLACH FINANCIAL | TRUENORTH FINANCIAL | TRITON WEALTH STRATEGIES | TRIO WEALTH ADVISORY | TRANDAI FINANCIAL SOLUTIONS | TR FINANCIAL GROUP | THE LIMPERT GROUP | THE IFP GROUP, INC | THE FINANCIAL GROUP OF PHILADELPHIA | THE FINANCIAL ARCHITECTS | THE COWART GROUP | SWANSON FINANCIAL | SUMNER FINANCIAL SOLUTIONS, LLC | STEWART WEALTH ADVISORS | SOLOMON WEALTH SOLUTIONS, LLC | SHONSEY WEALTH MANAGEMENT | SECURE RETIREMENT SOLUTIONS, LLC. | SAPIERS & WALLACK | ROAD TO RETIREMENT, INC | RICHARD OLSON FINANCIAL GROUP | RETIREMENT SOLUTIONS OF IOWA LLC | RETIREMENT RESOURCES USA, INC | RETIREMENT PLANNING ADVISORS | RETIREMENT DESIGNERS FINANCIAL GROUP, LLC | RETIREBYDESIGN | REIGNMAKERS WEALTH ADVISORS | REIDY FINANCIAL | REFINED STRATEGIES | PREMIER INVESTMENT ADVISORS GROUP | PMN FINANCIAL ASSOCIATES | PLANNINGKAMP | PERSPECTIVE WEALTH PLANNING | PEARCE FINANCIAL SERVICES | PEAK360 WEALTH MANAGEMENT | PARADIGM GILBERT | PALOMA FINANCIAL SERVICES | OZARK FINANCIAL SERVICES OF NWA, INC. | OLIVE TREE WEALTH MANAGEMENT | OAKMONT GROUP | NATIONAL INVESTORS INC. | MONEY ADVISORS GROUP, INC. | MJ FINANCIAL SERVICES | MICHAEL J LUCIA & ASSOCIATES | MEDLOCK WEALTH MANAGEMENT | MCCANN ASSET MANAGEMENT | MARTINI FINANCIAL SERVICES | M2 (SQUARED) WEALTH MANAGEMENT | LONE WOLF FINANCIAL | LISLE FINANCIAL GROUP | LIGHTHOUSE PLANNING GROUP | LIGHTHOUSE AGENCY INC | LIFE INCOME MANAGEMENT | LEGEND WEALTH MANAGEMENT | LAMB FINANCIAL SERVICES | L LOVIE WEALTH MANAGEMENT | KRATZER ADVISORY GROUP LLC | KLYN FINANCIAL | KANAVY FINANCIAL GROUP, LLC | JONES FINANCIAL SOLUTIONS | JML FINANCIAL GROUP | JETT WEALTH MANAGEMENT | JDJ FINANCIAL GROUP | J.C. WARRICK & COMPANY | ISLAND WEALTH ADVISORS, LLC | INVESTMENT RESOURCES OF AMERICA | INTELLECTUAL BUSINESS SOLUTIONS, LLC | INTEGRITY WEALTH | INTEGRITY ALLIANCE, LLC. | INTEGRITY ALLIANCE, LLC | INCOME AND ESTATE PLANNING PARTNERS | HR WEALTH MANAGEMENT | HOWARD AND HOWARD, LLC. | HOOSIER ADVISOR AND ASSOCIATES | HEARTLAND RETIREMENT GROUP WEALTH MANAGEMENT | GREMLER WEALTH MANAGEMENT | GREAT RIVER INVESTMENT SERVICES, LLC. | GATEWAY RETIREMENT SOLUTIONS | GARDNER BROWN ASSOCIATES, INC | FUNDAMENTAL VALUE ANALYTICS | FREEDOM WEALTH GROUP | FREDERICKS WEALTH MANAGEMENT | FREDERICK W. STANSBERRY SOLUTIONS | FORESIGHT FINANCIAL GROUP | FLAH & COMPANY | FIORE TAX AND WEALTH MANAGEMENT | FINLEY DAVIS FINANCIAL GROUP | FINANCIAL INTEGRITY GROUP | FINANCIAL & ESTATE PLANNING SERVICES | FELICIANO FINANCIAL GROUP | ESCOBAR FINANCIAL SERVICES | EGHRARI WEALTH | E.R. INIGUEZ FINANCIAL GROUP | DUKE FINANCIAL PARTNERS, LLC | DENTDELIOUN, LLC | DANNY HORN FINANCIAL | CURTIS & ASSOCIATES, INC | CREUTZER FINANCIAL GROUP | CRESCENT WEALTH MANAGEMENT | COVERAGE SOLUTIONS | CONSOLIDATED FINANCIAL MANAGEMENT & TAX SERVICE | CG FINANCIAL GROUP | CARRICK FINANCIAL GROUP | CAPITAL PROTECT GROUP | CAPITAL GROUP, INC | CALIBRATE WEALTH PARTNERS | BRYTON FINANCIAL | BRUNO FINANCIAL SERVICES | BROWN FINANCIAL SERVICES | BROKERS INTERNATIONAL MOUNTAIN STATES | BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. | BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC | BROKERS FINANCIAL | BROCK FINANCIAL SERVICES | BRIDGE PARTNERS | BRANDT FINANCIAL SERVICES, INC. | BLUFFVIEW INSURANCE GROUP | BI FINANCIAL SERVICES | BELL FINANCIAL | B.I. FINANCIAL AND INSURANCE SERVICES, LLC | ARREOLA FINANCIAL | ARISGARDE | AMERICAN ACADEMY WEALTH | AFFLUENT WEALTH MANAGEMENT | AARON M SMITH FINANCIAL GROUP | 22ND STATE WEALTH MANAGEMENT

CRD#: 139627 / SEC#: 801-69742, 8-67239
RIA
Registered Investment Advisory firm - SEC (11/14/2008 Approved)
Arizona
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Arkansas
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
California
Registered Investment Advisory firm - SEC (11/21/2008 Terminated)
Colorado
Registered Investment Advisory firm - SEC (12/17/2008 Terminated)
Delaware
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
District of Columbia
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Florida
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Georgia
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Idaho
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)
Illinois
Registered Investment Advisory firm - SEC (11/14/2008 Terminated)
Indiana
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Iowa
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)
Kansas
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (11/18/2008 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Maine
Registered Investment Advisory firm - SEC (4/15/2008 Terminated)
Massachusetts
Registered Investment Advisory firm - SEC (11/24/2008 Terminated)
Mississippi
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Missouri
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Montana
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Nebraska
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)
Nevada
Registered Investment Advisory firm - SEC (11/25/2008 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
New Mexico
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
North Dakota
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Ohio
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Oklahoma
Registered Investment Advisory firm - SEC (12/23/2008 Terminated)
Oregon
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (11/21/2008 Terminated)
Rhode Island
Registered Investment Advisory firm - SEC (11/19/2008 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
South Dakota
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Texas
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Virgin Islands
Registered Investment Advisory firm - SEC (7/17/2012 Terminated)
Virginia
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
Washington
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
West Virginia
Registered Investment Advisory firm - SEC (11/18/2008 Terminated)
Wisconsin
Registered Investment Advisory firm - SEC (11/17/2008 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Alabama
(6/9/2026)
RR
Arizona
(11/3/2025)
RR
California
(11/3/2025)
RR
Colorado
(11/3/2025)
RR
Connecticut
(11/3/2025)
RR
District of Columbia
(11/3/2025)
RR
Florida
(11/5/2025)
RR
Georgia
(11/3/2025)
RR
Idaho
(11/3/2025)
RR
Illinois
(11/3/2025)
RR
Louisiana
(11/3/2025)
RR
Maryland
(11/3/2025)
RR
Massachusetts
(11/3/2025)
RR
Michigan
(11/3/2025)
RR
Mississippi
(11/3/2025)
RR
New Jersey
(11/3/2025)
RR
New Mexico
(11/3/2025)
IAR
New York
(2/23/2021)
RR
New York
(11/3/2025)
RR
Oregon
(11/3/2025)
RR
Pennsylvania
(11/3/2025)
RR
Tennessee
(2/11/2026)
IAR
Texas
(11/26/1997)
RR
Texas
(11/3/2025)
RR
Utah
(11/3/2025)
RR
Vermont
(11/3/2025)
RR
Washington
(11/3/2025)
RR
Wisconsin
(11/3/2025)
RR
Wyoming
(11/3/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1985About the Series 63 exam

Series 7TO — General Securities Representative Examination

Passed Jan 2023About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 1 — Registered Representative Examination

Passed Oct 1973

Series 24 — General Securities Principal Examination

Passed Jul 2002About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Michael Bruce Kentor's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Bruce Kentor's CRS (Customer Relationship Summary).

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MK
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