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Detailed Report
ALAN ERIC KENT
ERIC KENT
CRD#: 2300301
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 1446 DORCHESTER DRIVE
ALEXANDRIA, LA 71301
CETERA ADVISORS LLCCRD#: 10299 1446 DORCHESTER DRIVE
ALEXANDRIA, LA 71301
Registration History
1995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2020 - Present (4 years)BCETERA ADVISORS LLC (CRD# 10299)2022 - Present (2 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2010 - 2022 (11 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2008 - 2010 (2 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1993 - 2008 (15 years)IAFIRST ALLIED ADVISORY SERVICES... (CRD# 137888)2012 - 2020 (8 years)IAFIRST ALLIED SECURITIES, INC. (CRD# 32444)2010 - 2012 (1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2009 - 2010 (1 year)
License(s)

State Registrations

B
Colorado 9/8/2022
B
Missouri 9/8/2022
IA
Louisiana 11/12/2020
B
North Carolina 9/8/2022
B
Louisiana 9/8/2022
B
Ohio 8/5/2024
B
Maryland 9/8/2022
IA
Texas 11/12/2020
B
Mississippi 9/8/2022
B
Texas 9/8/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
1446 DORCHESTER DRIVE, ALEXANDRIA, LA 71301
Registered with this firm since 11/12/2020
B
CETERA ADVISORS LLC (CRD#:10299)
1446 DORCHESTER DRIVE, ALEXANDRIA, LA 71301
Registered with this firm since 9/8/2022
Previous Registration(s)
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B
 11/01/2010 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) ALEXANDRIA, LA
IA
 07/02/2012 - 11/12/2020 FIRST ALLIED ADVISORY SERVICES, INC. (CRD#:137888) ALEXANDRIA, LA
IA
 11/01/2010 - 07/02/2012 FIRST ALLIED SECURITIES, INC. (CRD#:32444) ALEXANDRIA, LA
IA
 10/09/2009 - 11/01/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) ALEXANDRIA, LA
B
 01/01/2008 - 11/01/2010 WELLS FARGO ADVISORS, LLC (CRD#:19616) ALEXANDRIA, LA
B
 01/26/1993 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) ALEXANDRIA, LA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.