Guy E. Dent

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CRD#: 800673

Professional summary

Guy Edwin Dent JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Guy is a previously registered financial professional and started their career in finance in 1974. Prior to being barred, Guy had worked at 16 firms, which includes RETIREMENT FOUNDATIONS INC., ATLANTIC GROUP SECURITIES INC., DUKE & CO. INC., GMS GROUP, AXELROD ASSOCIATES INC., BNY MELLON CAPITAL MARKETS LLC, NATIONAL CITY INVESTMENTS CORPORATION, QUAESTOR MUNICIPAL GROUP INC., SENTRA SECURITIES CORPORATION, HENRY/KEARNS MUNICIPALS INCORPORATED, RICKEL & ASSOCIATES INC., LEGG MASON MASTEN INC., GRUNTAL & CO. L.L.C., HEFREN-TILLOTSON INC., DENT & CO. INC., SIMPSON EMERY & COMPANY INC..

Question & Answer

Are you a "fiduciary"?

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

December 9, 1997 - March 24, 1998

RETIREMENT FOUNDATIONS, INC.

CRD#: 43631

GREAT NECK, NY

Past

September 18, 1997 - October 15, 1997

ATLANTIC GROUP SECURITIES, INC.

CRD#: 42194

MILLBURN, NJ

Past

March 6, 1997 - May 22, 1997

DUKE & CO., INC.

CRD#: 8035

NEW YORK, NY

Past

June 11, 1996 - October 18, 1996

GMS GROUP

CRD#: 8000

EAST HANOVER, NJ

Past

June 15, 1995 - October 4, 1995

AXELROD ASSOCIATES, INC.

CRD#: 17559

ELKINS PARK, PA

Past

May 31, 1994 - June 6, 1995

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454

NEW YORK, NY

Past

May 10, 1993 - May 5, 1994

NATIONAL CITY INVESTMENTS CORPORATION

CRD#: 17365

Past

April 28, 1989 - December 4, 1992

QUAESTOR MUNICIPAL GROUP, INC.

CRD#: 23777

WEXFORD, PA

Past

November 30, 1988 - April 6, 1989

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

April 25, 1988 - October 31, 1988

HENRY/KEARNS MUNICIPALS INCORPORATED

CRD#: 7457

Past

December 18, 1984 - April 12, 1988

RICKEL & ASSOCIATES, INC.

CRD#: 7839

Past

June 27, 1984 - November 21, 1984

LEGG MASON MASTEN INC.

CRD#: 2

Past

March 12, 1984 - June 15, 1984

GRUNTAL & CO., L.L.C.

CRD#: 372

Past

May 16, 1979 - February 1, 1984

HEFREN-TILLOTSON, INC.

CRD#: 53

Past

October 10, 1977 - January 30, 1980

DENT & CO., INC.

CRD#: 7484

Past

November 12, 1974 - August 25, 1977

SIMPSON, EMERY & COMPANY, INC.

CRD#: 3418

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

Series 63

Date: 7/26/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 11/4/1974

Registered Representative Examination

Principal/Supervisory Exam

Series 54FN

Date: 12/11/1978

Municipal Securities Financial and Operations Principal Examination

Current Firm

RETIREMENT FOUNDATIONS, INC.

KFS SECURITIES, INC. | RETIREMENT FOUNDATIONS, INC.

CRD#: 43631 / SEC#: , 8-50353

Cancelled by SEC on 01/16/2001

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 05/01/1997

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
KFS FINANCIAL LLC	OWNER
RANNI, CHRISTOPHER ROBERT	FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Guy E. Dent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ATLANTIC GROUP SECURITIES, INC.

DUKE & CO., INC.

GMS GROUP

AXELROD ASSOCIATES, INC.

BNY MELLON CAPITAL MARKETS, LLC

NATIONAL CITY INVESTMENTS CORPORATION

QUAESTOR MUNICIPAL GROUP, INC.

SENTRA SECURITIES CORPORATION

HENRY/KEARNS MUNICIPALS INCORPORATED

RICKEL & ASSOCIATES, INC.

LEGG MASON MASTEN INC.

GRUNTAL & CO., L.L.C.

HEFREN-TILLOTSON, INC.

DENT & CO., INC.

SIMPSON, EMERY & COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/26/1993

Series 1

Date: 11/4/1974

Series 54FN

Date: 12/11/1978

Current Firm

RETIREMENT FOUNDATIONS, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

RETIREMENT FOUNDATIONS, INC.

TRUST BUT VERIFY

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