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AP

Andrew K. Proctor

Some features on this profile are disabled
CRD#: 703616
AP

Professional summary

Andrew Kent Proctor was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Andrew is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Andrew had worked at 13 firms, which includes JESS KENT CAPITAL MARKETS INC., DOMINICK & DICKERMAN LLC, DOMIK CORP., J.P. MORGAN SECURITIES LLC, LEHMAN BROTHERS INC., LEHMAN BROTHERS KUHN LOEB INCORPORATED, GRIFFIN BLAIR & CO. INCORPORATED, E. F. HUTTON & COMPANY INC, CROWELL WEEDON & CO., JEFFERIES EXECUTION SERVICES INC., MORGAN OLMSTEAD KENNEDY & GARDNER INCORPORATED, UBS FINANCIAL SERVICES INC., PAINE WEBBER JACKSON & CURTIS INCORPORATED.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 28, 1994 - August 11, 1997

JESS KENT CAPITAL MARKETS, INC.

BD
CRD#: 30745
Past

October 3, 1988 - September 17, 1990

DOMINICK & DICKERMAN LLC

BD
CRD#: 7344
OLD GREENWICH, CT
Past

January 16, 1987 - October 3, 1988

DOMIK CORP.

BD
CRD#: 223
Past

October 21, 1985 - January 9, 1987

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

June 25, 1984 - November 1, 1985

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

June 12, 1984 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555
Past

March 19, 1984 - July 10, 1984

GRIFFIN, BLAIR & CO., INCORPORATED

BD
CRD#: 13126
Past

February 8, 1982 - December 5, 1983

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

May 19, 1981 - February 22, 1982

CROWELL, WEEDON & CO.

BD
CRD#: 193
Past

November 25, 1980 - May 9, 1981

JEFFERIES EXECUTION SERVICES, INC.

BD
CRD#: 867
Past

August 12, 1980 - November 24, 1980

MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED

BD
CRD#: 595
Past

January 31, 1980 - August 14, 1980

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

January 19, 1980 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640

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: 5/29/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/24/1992
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/1984
General Securities Principal Examination

Current Firm

JK
JESS KENT CAPITAL MARKETS, INC.
JESS KENT CAPITAL MARKETS, INC.

CRD#: 30745 / SEC#: , 8-46157

BD
Terminated by SEC on 07/12/1997
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/21/1992
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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

JESS KENT CAPITAL MARKETS, INC.

CRD#: 30745

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