Kent W. Hargis
Professional summary
Kent W Hargis is a registered financial professional currently at ALLIANCEBERNSTEIN INVESTMENTS, INC. located in New York, New York.
Kent is registered as a RR (Registered Representative) and started their career in finance in 1999. Kent has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kent W Hargis's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 2006 - Present
ALLIANCEBERNSTEIN INVESTMENTS, INC.
Office #1: 66 Hudson Boulevard E, New York, NY 10001January 2, 2004 - December 31, 2006
SANFORD C. BERNSTEIN & CO., LLC
February 8, 1999 - March 19, 2003
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/1/2006)
Exams
FINRA
Current Firm
ALLIANCEBERNSTEIN INVESTMENTS, INC.
CRD#: 14549 / SEC#: , 8-30851
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCEBERNSTEIN CORPORATION OF DELAWARE ("ABCD") | PARENT OF REGISTRANT | |
| ARCHARD, NOEL CHRISTIAN | HEAD OF ETF AND PORTFOLIO SOLUTIONS | 2563745 |
| GESSNER, MARK ANDREW | CHIEF EXECUTIVE OFFICER | 2447287 |
| KRUEGER, GARY MICHAEL | DIRECTOR, CHIEF FINANCIAL OFFICER | 2840211 |
| MANLEY, MARK RANDALL | DIRECTOR AND CORPORATE SECRETARY | 1294370 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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