BY
Brent A. Yard
SYCAMORE FINANCIAL GROUP
Westfield, IN
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CRD#: 6654799
BY
Professional summary
Brent Alan Yard JR is a registered financial advisor currently at SYCAMORE FINANCIAL GROUP located in Westfield, Indiana.
Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Brent has worked at 1 firm and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Brent Alan Yard JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brent Alan Yard JR's 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®
NoneExperience
Current
July 18, 2017 - Present
SYCAMORE FINANCIAL GROUP
RIA
BD
CRD#: 14143
Westfield, IN
Current
August 31, 2019 - Present
SYCAMORE FINANCIAL GROUP
Office #1: 2713 Rockford Lane, Kokomo, IN 46902-4058RIA
BD
CRD#: 14143
Kokomo, IN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SF
SYCAMORE FINANCIAL GROUP
SMITH, GAYLOR, INC. | SYCAMORE FINANCIAL GROUP, INC. | SYCAMORE FINANCIAL GROUP
CRD#: 14143 / SEC#: 801-62788, 8-30302
RIA
Registered Investment Advisory firm - SEC (2/27/2004 Approved)Indiana
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/16/2019)
RR
Colorado(11/16/2019)
RR
Florida(11/16/2019)
IAR
Florida(1/16/2020)
RR
Georgia(11/16/2019)
RR
Hawaii(11/16/2019)
RR
Illinois(11/16/2019)
IAR
Illinois(12/16/2019)
IAR
Indiana(7/18/2017)
RR
Indiana(8/31/2019)
RR
Kansas(11/16/2019)
RR
Kentucky(11/16/2019)
RR
Michigan(11/16/2019)
RR
Nebraska(11/16/2019)
IAR
Nebraska(11/20/2019)
RR
New Mexico(11/16/2019)
RR
North Carolina(11/16/2019)
RR
Ohio(11/17/2019)
IAR
Ohio(11/17/2019)
RR
Pennsylvania(11/16/2019)
RR
South Carolina(11/16/2019)
RR
Texas(11/16/2019)
IAR
Texas(11/19/2019)
RR
Virginia(11/16/2019)
IAR
Virginia(11/18/2019)
RR
Wisconsin(11/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/31/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SYCAMORE FINANCIAL GROUP
SMITH, GAYLOR, INC. | SYCAMORE FINANCIAL GROUP, INC. | SYCAMORE FINANCIAL GROUP
CRD#: 14143 / SEC#: 801-62788, 8-30302
RIA
Registered Investment Advisory firm - SEC (2/27/2004 Approved)Indiana
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
2713 Rockford Lane, Kokomo, IN 46902
Mailing Address
2713 Rockford Lane, Kokomo, IN 46902
Phone number
(765) 455-1554
Established
Indiana since 07/23/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
4
SEC notice filing (8 States and Territories)
FINRA licenses (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,937 |
| AUM (Assets Under Management) | $ 681,079,389 |
Disclosures
| Regulatory Event | 1 |
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.
