Bert M. Sinclair
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.
Bert Mills Sinclair was a registered financial professional .
Bert is a previously registered financial professional and started their career in finance in 1971. Bert had worked at 2 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 1985 - May 5, 1997
PENTAD SECURITIES, INC.
November 16, 1971 - December 10, 1984
YOUNG, SMITH & PEACOCK, INC.
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: 11/13/1971
Registered Representative ExaminationF04
Date: 10/12/1974
Financial Principal ExaminationSeries 00
Date: 1/26/1974
General Securities Principal ExaminationCurrent Firm
PENTAD SECURITIES, INC.
CRD#: 15161 / SEC#: , 8-31759
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOSKYNS, WILLIAM ROY | PRESIDENT, DIRECTOR | 250676 |
| WILSON, JAMES HENRYBARCLAY | VICE PRESIDENT, DIRECTOR | 823916 |
| DIETRICH, FRED ALBERT | VICE PRESIDENT, CCO, DIRECTOR | 67751 |
| DIETRICH, MICHAEL ALLEN | CFO, DIRECTOR | 1132917 |
| SMITH, JOYCE ANN | SECRETARY/TREASURER | 2364528 |
| SULLIVAN, LEEASTER LORENZO | VICE PRESIDENT | 1360666 |
| SWANSON, DOUGLAS ALAN | VICE PRESIDENT | 1216991 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
