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Adam E. Nugent

Some features on this profile are disabled
CRD#: 4549399
AN

Professional summary

Adam Edward Nugent was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Adam is a previously registered financial professional and started their career in finance in 2003. Prior to being barred, Adam had worked at 4 firms, which includes PURSHE KAPLAN STERLING INVESTMENTS, FORESIGHT WEALTH MANAGEMENT LLC, SECURITIES SERVICE NETWORK LLC, HORNOR TOWNSEND & KENT LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1. THE FORESIGHT GROUP - 11550 S. 700 E. STE 100, DRAPER, UT 84121- PARTNERSHIP - OWNER - 02/2003 - 40 HR/MO/TRD HRS - LIFE, HEALTH, & P&C INS - NON-INVESTMENT RELATED 2. NUGENT ENTERPRISES - 11550 S. 700 E. STE 100, DRAPER, UT 84121 - PARTNERSHIP - OWNER - 2003 - 1 HR/D DURING TRDNG HRS - RENTAL PROPERTIES & HOLDING CO FOR OWNERSHIP IN STATEWIDE AUTO LENDING - INVESTMENT RELATED 3. FEATHERLITE PROPERTIES, LLC - 11550 S. 700 E. STE 100, DRAPER, UT 84121 - 06/2014 - NIR - HOLDING COMPANY FOR COMMERCIAL REAL ESTATE. - MANAGING MEMBER AND OWNER - LLC - 1 HR/MO TRADING 4. MOUNTAIN VIEW INSURANCE AGENCY LLC - 11550 S. 700 E. STE 100, DRAPER, UT 84121 - NIR - FIXED LIFE, HEALTH, AND PROPERTY & CASUALTY INSURANCE SERVICES. - MANAGING MEMBER, OWNER - LLC - 4 HRS/MO TRADING - 2017 5. AGRONOMIC ENTERPRISES, LLC - 215 W. 500 N., NORTH SALT LAKE CITY, UT 84054 - MINORITY OWNER - NIR - FARMING, PROCESSING AND DISTRIBUTION OF INDUSTRIAL HEMP - 03/2018 - 20 HRS/MO/TRD HRS 6. AGRONOMIC CAPITAL, GP - 11550 S. 700 E. STE 100, DRAPER, UT 84020 - MANAGING MEMBER - 03/2018 - GENERAL PARTNER TO AGRONOMIC CAPITAL, LP AN SEC RULE 506(B) REG D PRIVATE PLACEMENT THAT INDIRECTLY FUNDS AGRONOMIC ENTERPRISES- INVESTMENT RELATED - 40 HRS/MO/TRD HRS 7. NUGENT MAGAZINE, LLC - 11550 S 700 E STE 100, DRAPER, UT 84020 - MANAGING MEMBER 01/2020 - DIGITAL MAGAZINE SHARING POSITIVE NEWS- 10 HRS/MONTH - 1 HR/MO/TRD HRS - NON-INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
AIF®

Accredited Investment Fiduciary

Experience

Past

March 22, 2017 - June 26, 2018

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Draper, UT
Past

November 8, 2010 - December 31, 2023

FORESIGHT WEALTH MANAGEMENT, LLC

RIA
CRD#: 153881
DRAPER, UT
Past

November 3, 2010 - March 14, 2017

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
Draper, UT
Past

July 3, 2003 - November 5, 2010

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
SALT LAKE CITY, UT
Past

January 13, 2003 - November 5, 2010

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
SALT LAKE CITY, UT

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/9/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/26/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/10/2003
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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.

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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