Kent Maerki
Professional summary
Kent Maerki was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kent is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Kent had worked at 5 firms, which includes FULTON REID & STAPLES INC., BUSH AND COMPANY INCORPORATED, PENNSYLVANIA SECURITIES, FIRST MIDWEST CORPORATION, ALL AMERICAN MANAGEMENT CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 1975 - July 25, 1975
FULTON, REID & STAPLES, INC.
November 28, 1972 - June 4, 1973
BUSH AND COMPANY INCORPORATED
July 11, 1972 - October 8, 1972
PENNSYLVANIA SECURITIES
March 10, 1971 - May 26, 1972
FIRST MIDWEST CORPORATION
October 9, 1970 - April 10, 1971
ALL AMERICAN MANAGEMENT CORPORATION
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: 10/10/1968
Registered Representative ExaminationSeries 00
Date: 2/24/1973
General Securities Principal ExaminationCurrent firm
No current employment
Red Flags
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