Brent M. Flota
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brent Mitchell Flota, CFP® was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 2016. Brent had worked at 3 firms and has passed the Series 65 and Series 50 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2022 - May 17, 2024
BUCKINGHAM STRATEGIC WEALTH, LLC
January 24, 2019 - October 1, 2019
PLANCORP, LLC
August 29, 2016 - September 12, 2018
BALASA DINVERNO FOLTZ LLC
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
BUCKINGHAM STRATEGIC WEALTH, LLC
CRD#: 143323 / SEC#: 801-67640
Contact information
Regulatory assets under management
| Total Number of Accounts | 51,749 |
| AUM (Assets Under Management) | $ 29,509,452,509 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/24/2024 | ||
| 07/22/2022 |
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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