Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kent? Claim Your ProfileKent Robert Elliott is a financial advisor at Robert W. Baird & Co. Inc. Kent is a registered representative with both FINRA and the state of California, and has been in the securities industry since 1991. He has a Series 7, Series 31, Series 63, and Series 65 license. Kent specializes in providing financial planning, portfolio management, and investment advisory services to individuals, businesses, and investment companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
See schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
CA
04/17/2017 - Present
Robert W. Baird & Co. Inc. (ROSEVILLE CA)
CA
08/09/2004 - 01/14/2009
WACHOVIA SECURITIES, LLC (ROSEVILLE CA)
CA
05/02/2001 - 09/02/2004
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
02/15/1995 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NY
09/18/1991 - 02/24/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 02/25/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/04/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 09/17/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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