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KL

Kent J. Lund

Some features on this profile are disabled
CRD#: 3191357
KL

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 Jeffrey Lund was a registered financial professional .

Kent is a previously registered financial professional and started their career in finance in 1999. Kent had worked at 8 firms and has passed the Series 66, Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 53, Series 14, Series 10, Series 9 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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 5, 2018 - December 31, 2025

GVC CAPITAL LLC

BD
CRD#: 38923
CENTENNIAL, CO
Past

January 15, 2015 - March 31, 2017

SDR CAPITAL MARKETS, LLC

BD
CRD#: 170652
GREENWOOD VILLAGE, CO
Past

June 23, 2014 - January 23, 2015

GVC CAPITAL LLC

BD
CRD#: 38923
Greenwood Village, CO
Past

May 30, 2013 - November 8, 2013

COLORADO FINANCIAL SERVICE CORPORATION

RIA
CRD#: 104343
CENTENNIAL, CO
Past

March 5, 2013 - November 8, 2013

COLORADO FINANCIAL SERVICE CORPORATION

BD
CRD#: 104343
CENTENNIAL, CO
Past

December 5, 2011 - July 30, 2012

GVC CAPITAL LLC

BD
CRD#: 38923
CENTENNIAL, CO
Past

May 3, 2007 - April 30, 2010

GEORGE K. BAUM & COMPANY

BD
CRD#: 36354
DENVER, CO
Past

February 15, 2006 - May 4, 2007

MOUNTAINVIEW SECURITIES, LLC

BD
CRD#: 7882
DENVER, CO
Past

July 30, 2002 - January 14, 2005

KFS BD, INC.

BD
CRD#: 490
OMAHA, NE
Past

September 1, 2001 - April 12, 2002

NF CLEARING, INC.

BD
CRD#: 14285
PHILADELPHIA, PA
Past

October 19, 1999 - September 1, 2001

FISERV CORRESPONDENT SERVICES, INC.

BD
CRD#: 29273
DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/4/2013
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/13/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/18/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 5/6/2000
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 10
Date: 4/4/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 4/4/2000
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/20/1999
General Securities Principal Examination

Current Firm

GC
GVC CAPITAL LLC
BATHGATE CAPITAL PARTNERS LLC | GVC CAPITAL LLC | BATHGATE MCCOLLEY CAPITAL GROUP LLC

CRD#: 38923 / SEC#: , 8-48465

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
16318 E Berry Ave, Centennial, CO 80015
Mailing Address
16318 E Berry Ave, Centennial, CO 80015
Phone number
(303) 694-0862
Established
Colorado since 06/09/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GVC PARTNERS LLCMEMBER
FULTON, GREGORY GALESENIOR MANAGING PARTNER215757
HUEBNER, RICHARD TYSONSENIOR MANAGING PARTNER1080361
HUEBNER, RICHARD TYSONCEO, CCO1080361

Disclosures

Regulatory Event4

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.

Company Information

GVC CAPITAL LLC

CRD#: 38923

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