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RK

Ryan J. Kent

ALAMO CAPITAL
Walnut Creek, CA 94596
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CRD#: 5648487
RK

Professional summary


Ryan Joseph Kent is a registered financial professional currently at ALAMO CAPITAL located in Walnut Creek, California.

Ryan is registered as a RR (Registered Representative) and started their career in finance in 2010. Ryan has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

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.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Ryan Joseph Kent's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Current

March 15, 2010 - Present

ALAMO CAPITAL

Office #1: 201 N Civic Dr #180, Walnut Creek, CA 94596
RIA
BD
CRD#: 26193
Walnut Creek, CA

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
Series 63
Date: 6/23/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 24
Date: 10/13/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm


AC
ALAMO CAPITAL
A.C. WEALTH MANAGEMENT | ALAMO CAPITAL CORPORATION | ALAMO CAPITAL

CRD#: 26193 / SEC#: , 8-42293

California
Registered Investment Advisory firm - SEC (1/2/2002 Approved)
Nevada
Registered Investment Advisory firm - SEC (12/29/2017 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information


Main Address
201 N Civic Dr #180, Walnut Creek, CA 94596-3761
Mailing Address
201 N Civic Dr Suite 180, Walnut Creek, CA 94596
Phone number
(925) 472-5740
Established
California since 08/27/1987
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees
20

FINRA licenses (41 States and Territories)


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

Documents


Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers


NamePositionCRD#
MULLALLY, NANCY ANN RUEHLECEO1004052
MULLALLY, NANCY ANN RUEHLECFO1004052
DURDEN JR, JOHN KENNETHFINOP860423
KENT-ASTER, ALLISON VICTORIACCO2047679
MULLALLY, WILLIAM JOHNPRESIDENT818827

Regulatory assets under management


Total Number of Accounts14
AUM (Assets Under Management)$ 81,684,700

Disclosures


Regulatory Event3
Bond3

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


ALAMO CAPITAL

CRD#: 26193Walnut Creek, CA 94596

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