Kent A. Grubaugh
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.
Kent Allen Grubaugh, CFP® was a registered financial professional .
Kent is a previously registered financial professional and started their career in finance in 1997. Kent had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 26 and Series 24 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, 2020 - March 1, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
May 24, 2017 - March 1, 2023
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
January 30, 2010 - May 5, 2017
CITY NATIONAL SECURITIES, INC.
December 14, 2007 - November 16, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 26, 2002 - November 27, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 1999 - December 31, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 8, 1997 - July 12, 1999
BA INVESTMENT SERVICES, INC.
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
Current Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
