Kent L. Argue
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 Loren Argue was a registered financial professional .
Kent is a previously registered financial professional and started their career in finance in 2002. Kent had worked at 3 firms and has passed the Series 66 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
May 9, 2006 - December 31, 2012
INVESTORS CAPITAL CORP.
May 9, 2006 - December 31, 2012
INVESTORS CAPITAL CORP.
February 3, 2004 - June 1, 2005
LPL FINANCIAL LLC
February 3, 2004 - June 1, 2005
LPL FINANCIAL LLC
February 11, 2002 - June 30, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 2002 - June 30, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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