RK
Richard J. Kent
GLADSTONE SECURITIES
Mclean, VA 22102
Some features on this profile are disabled
CRD#: 3258231
RK
Professional summary
Richard John Kent, who also goes by John Kent, R John Kent, Richard J Kent, is a registered financial professional currently at GLADSTONE SECURITIES, LLC located in Mclean, Virginia.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1999. Richard has worked at 7 firms and has passed the Series 63, Series 79TO, Series 82TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Kent | R John Kent | Richard J Kent
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard John Kent's 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®
NoneExperience
Current
February 8, 2017 - Present
GLADSTONE SECURITIES, LLC
Office #1: 1521 Westbranch Drive Suite 100, Mclean, VA 22102BD
CRD#: 127808
Mclean, VA
Past
June 19, 2014 - February 6, 2017
MACQUARIE CAPITAL (USA) INC.
BD
CRD#: 36368
NEW YORK, NY
Past
October 9, 2012 - June 16, 2014
LCT CAPITAL, LLC
BD
CRD#: 154233
AUSTIN, TX
Past
November 3, 2010 - October 5, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
September 1, 2010 - April 15, 2011
NOMURA SECURITIES NORTH AMERICA, LLC
BD
CRD#: 42885
NEW YORK, NY
Past
November 3, 2000 - July 12, 2010
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 14, 1999 - November 3, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/8/2017)
RR
Alaska(2/8/2017)
RR
Arizona(2/8/2017)
RR
Arkansas(2/8/2017)
RR
California(2/8/2017)
RR
Colorado(2/8/2017)
RR
Connecticut(2/8/2017)
RR
Delaware(2/8/2017)
RR
District of Columbia(2/8/2017)
RR
Florida(2/8/2017)
RR
Georgia(2/8/2017)
RR
Hawaii(2/8/2017)
RR
Idaho(2/8/2017)
RR
Illinois(2/8/2017)
RR
Indiana(2/8/2017)
RR
Iowa(2/8/2017)
RR
Kansas(2/8/2017)
RR
Kentucky(2/8/2017)
RR
Louisiana(2/8/2017)
RR
Maine(2/8/2017)
RR
Maryland(2/8/2017)
RR
Massachusetts(2/8/2017)
RR
Michigan(2/8/2017)
RR
Minnesota(2/8/2017)
RR
Mississippi(2/8/2017)
RR
Missouri(2/8/2017)
RR
Montana(2/8/2017)
RR
Nebraska(2/8/2017)
RR
Nevada(2/8/2017)
RR
New Hampshire(2/8/2017)
RR
New Jersey(2/8/2017)
RR
New Mexico(2/8/2017)
RR
New York(2/8/2017)
RR
North Carolina(2/8/2017)
RR
North Dakota(2/8/2017)
RR
Ohio(2/8/2017)
RR
Oklahoma(2/8/2017)
RR
Oregon(2/8/2017)
RR
Pennsylvania(2/8/2017)
RR
Rhode Island(2/8/2017)
RR
South Carolina(2/8/2017)
RR
South Dakota(2/8/2017)
RR
Tennessee(4/19/2023)
RR
Texas(2/8/2017)
RR
Utah(2/8/2017)
RR
Vermont(2/8/2017)
RR
Virginia(2/8/2017)
RR
Washington(2/8/2017)
RR
West Virginia(2/8/2017)
RR
Wisconsin(2/8/2017)
RR
Wyoming(2/8/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GLADSTONE SECURITIES, LLC
CIRCADIAN PARTNERS LLC | GLADSTONE SECURITIES, LLC
CRD#: 127808 / SEC#: , 8-66052
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1521 Westbranch Drive Suite 100, Mclean, VA 22102
Mailing Address
1521 Westbranch Drive Suite 100, Mclean, VA 22102
Phone number
(703) 287-5900
Established
Connecticut since 04/07/2003
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GLADSTONE COMPANIES, INC. | SHAREHOLDER | |
| DELLAFIORA, JOHN ANTHONY JR | MEMBER, BOARD OF MANAGERS/MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER | 5412022 |
| GLADSTONE, DAVID JOHN | MEMBER, BOARD OF MANAGERS | 4578897 |
| KENT, RICHARD JOHN | MEMBER, BOARD OF MANAGERS/MANAGING PRINCIPAL | 3258231 |
| LICALSI, MICHAEL BERNARD | MEMBER, BOARD OF MANAGERS/MANAGING PRINCIPAL/CHIEF LEGAL OFFICER/SECRETARY | 2578298 |
| MARRONE, MICHAEL THOMAS | FINANCIAL AND OPERATIONS PRINCIPAL | 4859949 |
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.
