Katy L. Talton
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.
Katy Lou Talton, who also goes by Katy Thornburg, was a registered financial professional .
Katy is a previously registered financial professional and started their career in finance in 1983. Katy had worked at 6 firms and has passed the Series 63 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
April 6, 1998 - December 12, 2002
K.W. BROWN INVESTMENTS
February 18, 1997 - March 24, 1998
CRISPIN KOEHLER SECURITIES
March 15, 1994 - January 23, 1997
K.W. BROWN INVESTMENTS
September 18, 1991 - February 20, 1997
K.W. BROWN INVESTMENTS
March 21, 1988 - July 23, 1991
JW GENESIS CLEARING CORP.
April 2, 1985 - March 1, 1988
WACHOVIA SECURITIES, INC.
March 20, 1984 - April 2, 1985
RICHARDSON GREENSHIELDS SECURITIES INC.
November 22, 1983 - March 13, 1984
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
K.W. BROWN INVESTMENTS
CRD#: 16492 / SEC#: , 8-34033
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 9 |
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.
