Kent G. Lehman
Professional summary
Kent George Lehman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kent is a previously registered financial advisor and started their career in finance in 2006. Prior to being barred, Kent had worked at 6 firms, which includes SECURIAN FINANCIAL SERVICES INC., MORGAN STANLEY & CO. LLC, CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, JHS CAPITAL ADVISORS LLC, MERCER CAPITAL LTD..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2009 - July 11, 2011
SECURIAN FINANCIAL SERVICES, INC.
July 10, 2009 - July 11, 2011
SECURIAN FINANCIAL SERVICES, INC.
March 24, 2008 - February 12, 2009
MORGAN STANLEY & CO. LLC
February 5, 2008 - February 12, 2009
MORGAN STANLEY & CO. LLC
May 29, 2007 - November 19, 2007
CITIGROUP GLOBAL MARKETS INC.
March 9, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
May 1, 2006 - August 24, 2006
JHS CAPITAL ADVISORS, LLC
March 28, 2006 - May 10, 2006
MERCER CAPITAL LTD.
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
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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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