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RK

Robert T. Kirkwood

LUMENT SECURITIES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 6025468
RK

Professional summary

Robert Thomas Kirkwood, who also goes by Bob Kirkwood, is a registered financial professional currently at LUMENT SECURITIES, LLC located in Dallas, Texas.

Robert is registered as a RR (Registered Representative) and started their career in finance in 2012. Robert has worked at 2 firms and has passed the Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Kirkwood

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 Robert Thomas Kirkwood'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

January 2, 2019 - Present

LUMENT SECURITIES, LLC

Office #1: 2001 Ross Avenue Suite 1900, Dallas, TX 75201Office #2: 230 Park Avenue 19th Floor, New York, NY 10169
BD
CRD#: 14840
Dallas, TX
Past

March 4, 2014 - January 2, 2019

LANCASTER POLLARD & CO., LLC

BD
CRD#: 24110
COLUMBUS, OH
Past

February 24, 2012 - November 1, 2013

LUMENT SECURITIES, LLC

BD
CRD#: 14840
COLUMBUS, OH

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

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/29/2014
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/23/2012
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LUMENT SECURITIES, LLC
LUMENT SECURITIES | RED CAPITAL MARKETS, LLC | RED CAPITAL MARKETS, INC. | PROVIDENT SECURITIES & INVESTMENT COMPANY | OREC SECURITIES, LLC | LUMENT SECURITIES, LLC

CRD#: 14840 / SEC#: , 8-31175

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

Main Address
10 West Broad Street 8th Floor, Columbus, OH 43215
Mailing Address
10 West Broad Street 8th Floor, Columbus, OH 43215
Phone number
(614) 857-1600
Established
Delaware since 05/06/2010
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 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#
LUMENT REAL ESTATE CAPITAL HOLDINGS, LLCSHAREHOLDER
CROFT, JAMES FRANCISCHAIRMAN, BOARD OF MANAGERS2148025
KIRKWOOD, ROBERT THOMASCHIEF EXECUTIVE OFFICER, BOARD OF MANAGERS6025468
MAINELLI, KEVIN JOSEPHMANAGING DIRECTOR - CHIEF COMPLIANCE OFFICER1751991
SMITH, MARY AGNESCHIEF FINANCIAL OFFICER AND FINOP2498307

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

LUMENT SECURITIES, LLC

CRD#: 14840Dallas, TX 75201

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