KL
Kent A. Lepard
JOHN HANCOCK DISTRIBUTORS LLC
Highlands Ranch, CO
Some features on this profile are disabled
CRD#: 2682504
KL
Professional summary
Kent Alan Lepard is a registered financial professional currently at JOHN HANCOCK DISTRIBUTORS LLC located in Highlands Ranch, Colorado.
Kent is registered as a RR (Registered Representative) and started their career in finance in 1996. Kent has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kent Alan Lepard's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 30, 2002 - Present
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
Highlands Ranch, CO
Past
February 21, 1996 - August 21, 2002
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/18/2024)
RR
Alaska(11/18/2022)
RR
Arizona(1/2/2019)
RR
Arkansas(9/18/2024)
RR
California(11/18/2022)
RR
Colorado(1/2/2019)
RR
Connecticut(9/18/2024)
RR
Delaware(9/18/2024)
RR
District of Columbia(9/18/2024)
RR
Florida(9/18/2024)
RR
Georgia(9/18/2024)
RR
Hawaii(11/18/2022)
RR
Idaho(7/27/2023)
RR
Illinois(9/18/2024)
RR
Indiana(9/18/2024)
RR
Iowa(9/18/2024)
RR
Kansas(9/18/2024)
RR
Kentucky(9/18/2024)
RR
Louisiana(9/18/2024)
RR
Maine(9/18/2024)
RR
Maryland(9/18/2024)
RR
Massachusetts(10/20/2020)
RR
Michigan(9/18/2024)
RR
Minnesota(9/18/2024)
RR
Mississippi(9/18/2024)
RR
Missouri(9/18/2024)
RR
Montana(7/27/2023)
RR
Nebraska(9/18/2024)
RR
Nevada(1/2/2019)
RR
New Hampshire(9/18/2024)
RR
New Jersey(9/18/2024)
RR
New Mexico(1/2/2019)
RR
New York(1/9/2023)
RR
North Carolina(9/18/2024)
RR
North Dakota(10/6/2014)
RR
Ohio(9/18/2024)
RR
Oklahoma(9/18/2024)
RR
Oregon(11/18/2022)
RR
Pennsylvania(9/18/2024)
RR
Puerto Rico(9/18/2024)
RR
Rhode Island(9/18/2024)
RR
South Carolina(9/18/2024)
RR
South Dakota(9/18/2024)
RR
Tennessee(9/18/2024)
RR
Texas(9/18/2024)
RR
Utah(1/2/2019)
RR
Vermont(9/18/2024)
RR
Virginia(9/18/2024)
RR
Washington(7/27/2023)
RR
West Virginia(9/18/2024)
RR
Wisconsin(9/18/2024)
RR
Wyoming(1/2/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
JH
JOHN HANCOCK DISTRIBUTORS LLC
JOHN HANCOCK DISTRIBUTORS LLC | MANULIFE FINANCIAL SECURITIES LLC | MANEQUITY, INC.
CRD#: 5249 / SEC#: , 8-15826
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
200 Berkeley Street, Boston, MA 02116
Mailing Address
200 Berkeley Street, Boston, MA 02116
Phone number
(617) 663-3021
Established
Delaware since 08/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK LIFE INSURANCE COMPANY (U.S.A.) | OWNER | |
| BOGLE, JAMES WILLIAM | PRINCIPAL FINANCIAL OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL | 7344902 |
| HARTIGAN, ROBERT JOSEPH | CHIEF COMPLIANCE OFFICER | 2931786 |
| LANNIGAN, TRACY KANE | VICE PRESIDENT & CORPORATE SECRETARY | 6944688 |
| SILVA, ANTHONY ALEX | DIRECTOR | 7755954 |
| TANKERSLEY, GARY LYNN | PRESIDENT & CHIEF EXECUTIVE OFFICER | 2637199 |
| WALKER, CHRISTOPHER MICHAEL | VICE PRESIDENT, INVESTMENTS & DIRECTOR | 4302554 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
