Kent A. Johnson

RB CAPITAL MANAGEMENT

Wilton, CT 06897

Some features on this profile are disabled

CRD#: 3230312

Professional summary

Kent Allen Johnson, CFP® is a registered financial advisor currently at RB CAPITAL MANAGEMENT, LLC located in Wilton, Connecticut.

Kent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Kent has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Kent Allen Johnson's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2014

Experience

Current

May 19, 2022 - Present

RB CAPITAL MANAGEMENT, LLC

Office #1: 15 River Road Suite 15b, Wilton, CT 06897

RIA

CRD#: 125678

Wilton, CT

Past

January 2, 2019 - May 11, 2022

GYL FINANCIAL SYNERGIES, LLC

RIA

CRD#: 284758

Westport, CT

Past

March 2, 2015 - January 2, 2019

RESNICK ADVISORS

RIA

CRD#: 105927

WESTPORT, CT

Past

August 8, 2008 - March 12, 2015

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

STAMFORD, CT

Past

May 21, 2008 - March 9, 2015

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

STAMFORD, CT

Past

December 15, 2005 - January 22, 2007

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

December 1, 2005 - January 22, 2007

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

September 22, 2005 - December 19, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

STAMFORD, CT

Past

January 14, 2003 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 27, 2000 - December 16, 2002

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

July 12, 1999 - February 2, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RB CAPITAL MANAGEMENT, LLC

JS WEALTH PLANNING | RB CAPITAL MANAGEMENT, LLC

CRD#: 125678 / SEC#: 801-62043

RIA

Registered Investment Advisory firm - (5/9/2003 Approved)

California

Registered Investment Advisory firm - (6/13/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(6/15/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/21/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/14/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/9/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/9/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RB CAPITAL MANAGEMENT, LLC

JS WEALTH PLANNING | RB CAPITAL MANAGEMENT, LLC

CRD#: 125678 / SEC#: 801-62043

RIA

Registered Investment Advisory firm - (5/9/2003 Approved)

California

Registered Investment Advisory firm - (6/13/2003 Terminated)

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

5365 Reno Corporate Dr. Suite 200, Reno, NV 89511

Mailing Address

Phone number

(775) 993-2900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE DOCUMENT FOR CLIENTS NOT PARTICIPATING IN THE WRAP PROGRAM (3/27/2025)

DISCLOSURE DOCUMENT FOR CLIENTS PARTICIPATING IN THE WRAP PROGRAM (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,382
AUM (Assets Under Management)	$ 817,220,998

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Philip Meese

AE WEALTH MANAGEMENT, LLC

IAR

Darien, CT

Donald Henry

CITIGROUP GLOBAL MARKETS INC.

IAR

Norwalk, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kent A. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kent Allen Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

GYL FINANCIAL SYNERGIES, LLC

RESNICK ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

RB CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/21/2001

Series 63

Date: 6/14/1999

SIE

Date: 3/9/2015

Series 7

Date: 12/9/2003

Series 6

Date: 7/9/1999

Current Firm

RB CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RB CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors