Kenneth E. Brown

AVISEN ADVISORS

Sacramento, CA 95864

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CRD#: 1014957

Professional summary

Kenneth Elvin Brown is a registered financial advisor currently at AVISEN ADVISORS, LLC located in Sacramento, California and AVISEN WEALTH MANAGEMENT, INC. located in Sacramento, California.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Kenneth has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

AVISEN ADVISORS, LLC. 3620 AMERICAN RIVER DRIVE, SUITE 145, SACRAMENTO, CA 95864. RIA, INVESTMENT RELATED. INVESTMENT ADVISOR REPRESENTATIVE AND MANAGING MEMBER, DUTIES INCLUDE PORTFOLIO MANAGEMENT SERVICES AND SUPERVISORY, START DATE IS JUNE 1 2001, APPROXIMATELY 85 HOURS PER MONTH OF WHICH 48 HOURS ARE DURING SECURITIES TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Elvin Brown's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 5, 2010 - Present

AVISEN ADVISORS, LLC

Office #1: 3620 American River Drive Suite 145, Sacramento, CA 95864

RIA

CRD#: 113791

Sacramento, CA

Current

August 20, 2003 - Present

AVISEN WEALTH MANAGEMENT, INC.

Office #1: 3620 American River Drive, Suite 145, Sacramento, CA 95864

CRD#: 125977

Sacramento, CA

Past

June 20, 2001 - October 27, 2003

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

November 13, 1995 - June 27, 2001

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

November 7, 1995 - December 31, 2011

LYNX CAPITAL GROUP LLC

RIA

CRD#: 124161

SACRAMENTO, CA

Past

January 28, 1995 - November 13, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 24, 1993 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

September 4, 1990 - April 6, 1993

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 8, 1989 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

October 8, 1984 - May 23, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

Past

October 22, 1981 - October 23, 1984

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AVISEN ADVISORS, LLC

AVISEN ADVISORS, LLC | BROWN ROBELLO CAPITAL MANAGEMENT, LLC

CRD#: 113791 / SEC#: 801-67652

RIA

Registered Investment Advisory firm - (5/7/2007 Approved)

California

Registered Investment Advisory firm - (8/22/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/25/2019)

Arizona
(3/26/2025)

California
(8/27/2003)

IAR

California
(2/5/2010)

Florida
(1/9/2017)

Hawaii
(1/22/2019)

Idaho
(7/30/2020)

Illinois
(10/4/2022)

Nevada
(1/31/2011)

North Carolina
(6/6/2017)

Oregon
(1/2/2020)

South Dakota
(7/8/2024)

Texas
(9/27/2022)

IAR

Texas
(9/30/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/21/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/7/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/22/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/14/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

AVISEN ADVISORS, LLC

AVISEN ADVISORS, LLC | BROWN ROBELLO CAPITAL MANAGEMENT, LLC

CRD#: 113791 / SEC#: 801-67652

RIA

Registered Investment Advisory firm - (5/7/2007 Approved)

California

Registered Investment Advisory firm - (8/22/2007 Terminated)

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Contact information

Main Address

3620 American River Drive Suite 145, Sacramento, CA 95864

Mailing Address

Phone number

(916) 480-2747

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	422
AUM (Assets Under Management)	$ 356,123,136

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Advisor Monitoring

Firm Stability Insights

Kenneth E. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Elvin Brown's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVISEN WEALTH MANAGEMENT, INC.

ROUND HILL SECURITIES, INC.

WELLS FARGO SECURITIES, LLC

LYNX CAPITAL GROUP LLC

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

LEHMAN BROTHERS INC.

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

AVISEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/1992

Series 63

Date: 10/7/1985

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1981

Series 53

Date: 4/22/2003

Series 24

Date: 4/14/2003

FINRA

Current Firm

AVISEN ADVISORS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AVISEN ADVISORS, LLC

TRUST BUT VERIFY

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