William D. Kent
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.
William D Kent, who also goes by William Daniel Kent, William Kent, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2001. William had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2023 - October 31, 2023
LATIN SECURITIES INC.
January 8, 2020 - January 27, 2021
INSIGNEO SECURITIES, LLC
June 11, 2013 - June 19, 2019
MORGAN STANLEY
May 24, 2013 - June 19, 2019
MORGAN STANLEY
April 2, 2012 - June 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 4, 2010 - June 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - March 28, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 5, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, 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
Exams
Current Firm
LATIN SECURITIES INC.
CRD#: 164117 / SEC#: , 8-69086
Contact information
FINRA licenses (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16 |
| AUM (Assets Under Management) | $ 25,162,061 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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