Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kent? Claim Your ProfileKent Sward is a financial advisor with Ameriprise Financial Services, LLC. Kent has been in the financial industry since 1975 and has a wide range of experience, including working with Wells Fargo Clearing Services, LLC, Prudential Securities Incorporated, Smith Barney, Harris Upham & Co., Incorporated, and Piper, Jaffray & Hopwood Incorporated. Kent is registered with the Securities and Exchange Commission (SEC) and is a licensed investment advisor in Minnesota and Texas. Kent has a broad range of expertise, including portfolio management for businesses and individuals, financial planning, asset allocation services, and pension consulting. Kent specializes in working with high-net-worth individuals, corporations, and trusts and estates.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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2
MN
11/17/2023 - Present
Ameriprise Financial Services, LLC (EDINA MN)
MN
07/01/2003 - 11/21/2023
WELLS FARGO CLEARING SERVICES, LLC (BLOOMINGTON MN)
NY
07/16/1990 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/15/1985 - 07/17/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
11/21/1975 - 07/22/1985
PIPER, JAFFRAY & HOPWOOD INCORPORATED
IA
Issued 02/19/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/14/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/28/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 04/13/1978
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/1982
Series 15 - Foreign Currency Options Examination
BC
Issued 10/26/1981
Series 5 - Interest Rate Options Examination
BC
Issued 04/13/1978
PC - AMEX Put and Call Exam
BC
Issued 11/15/1975
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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