Kim R. Brawner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kim Rogan Brawner, who also goes by Kim Brawner, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1983. Kim had worked at 9 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2015 - February 18, 2021
SPHERE, LLC
November 18, 2013 - January 20, 2015
CFO4LIFE, L.P.
November 1, 2013 - January 2, 2015
AUSDAL FINANCIAL PARTNERS, INC.
August 19, 2011 - November 12, 2013
WADDELL & REED
August 19, 2011 - November 12, 2013
WADDELL & REED
June 1, 2009 - August 31, 2011
MORGAN STANLEY
June 1, 2009 - August 31, 2011
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 1, 1992 - April 2, 2007
MORGAN STANLEY DW INC.
March 26, 1990 - April 2, 2007
MORGAN STANLEY DW INC.
October 16, 1987 - April 23, 1990
LEHMAN BROTHERS INC.
August 23, 1983 - October 29, 1987
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Exams
Current Firm
SPHERE, LLC
CRD#: 174488 / SEC#:
Contact information
Red Flags
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