Kent Forsey has been President/Chief Compliance Officer of Hillspring Financial since July 2012, is a control person of the firm and directly owns 75% or more of it.
Hillspring Financial, Inc. is a Surprise, AZ firm with $186M under management, 270 clients and 2 advisers in one office, as of its March 2026 filing.
Kent Forsey’s longest registration is the current one, 16 years at Hillspring Financial since 2010. Before joining Hillspring Financial in 2010, Kent Forsey was registered through Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. Incorporated.
- Hillspring Financial, Inc.Current– present · 16 yearsSurprise, AZ · Adviser representative · Firm CRD 113938
- Morgan Stanley Smith Barney LLC– · 1 yearSurprise, AZ · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 2 yearsSurprise, AZ · Adviser representative · Firm CRD 8209
- Morgan Stanley– · 1 yearSurprise, AZ · Adviser representative · Firm CRD 7556
- Wachovia Securities, LLC– · 1 yearSurprise, AZ · Adviser representative · Firm CRD 19616
- Prudential Securities Incorporated– · 2 yearsSun City, AZ · Adviser representative · Firm CRD 7471
Investment adviser representative registrations
Kent Forsey is registered as an investment adviser representative in 2 states. The first approvals date from October 2010; the most recent is Texas, in February 2019.
- ArizonaSince 21 October 2010
- TexasSince 14 February 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 9 August 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 July 1986 |
| Series 7 | General Securities Representative Examination | 19 July 1986 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Kent Garry Forsey
- CRD
- 1514412
- Firm
- Hillspring Financial · CRD 113938
- Role
- President/Chief Compliance Officer
- Office
- 12213 W. BELL ROAD, SUITE 209, Surprise, AZ 85378
- Registration
- Investment adviser registration
- In the industry since
- March 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Kent Forsey work?
Kent Forsey has been President/Chief Compliance Officer of Hillspring Financial, Inc. since July 2012, and is a control person of the firm.
Is Kent Forsey a financial advisor?
Yes. Kent Forsey has a current investment-adviser registration in Arizona and Texas, through Hillspring Financial since October 2010.
How many years of experience does Kent Forsey have?
Kent Forsey has 25 years in the financial industry, since March 2001, across 6 adviser firms.
What exams has Kent Forsey passed?
Kent Forsey has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in July 1986.
Where did Kent Forsey work before Hillspring Financial?
Before Hillspring Financial, Kent Forsey was registered through Morgan Stanley Smith Barney LLC, June 2009 to September 2010; Morgan Stanley & Co. Incorporated, April 2007 to June 2009; Morgan Stanley, April 2005 to April 2007; Wachovia Securities, LLC, July 2003 to April 2005; Prudential Securities Incorporated, February 2001 to July 2003.
Where is Kent Forsey based?
Kent Forsey’s registered office is in Surprise, AZ.
Is Kent Forsey registered with FINRA?
No. Kent Forsey has no current broker registration.
How can I verify Kent Forsey’s record?
Search CRD 1514412 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kent Forsey’s full registration record.