KB
Kevin M. Brown
UNION CAPITAL COMPANY
Poland, OH
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CRD#: 1240188
KB
Professional summary
Kevin Michael Brown is a registered financial advisor currently at UNION CAPITAL COMPANY located in Poland, Ohio.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Kevin has worked at 9 firms and has passed the SIE, Series 7 and Series 6 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.
1)SPECIALTY INSURANCE AND FINANCIAL SERVICES,
410 ROBBINS AVE,NILES OH 44446:
3578 Niles-Cortland Road
Cortland, Ohio 44410
(S) CORP,
NATURE OF BUS: LIFE/HEALTH/DISABILITY INS/ANNUITY/LTCI/DENTAL/VISION,
TITLE: 50% PARTNER, V.P. of Partnership
Started January 1, 2012
DUTIES: SALES AND MANAGEMENT,
TIME SPENT: 25%,
COMPENSATION: COMMISSIONS,
2)K & T REALTY OF TRUMBULL
RENTAL PROPERTY-LANDLORD,
3578 NILES-CORTLAND RD,
CORTLAND OH:
SOLE PROPRIETORSHIP,
NATURE OF BUS: OFFICE RENTAL,
TITLE: OWNER,
TIME SPENT: 1%,
COMPENSATION: RENTAL INCOME
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Michael Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Michael Brown's 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®
NoneExperience
Current
January 6, 2016 - Present
UNION CAPITAL COMPANY
RIA
BD
CRD#: 110301
Poland, OH
Current
December 28, 2015 - Present
UNION CAPITAL COMPANY
RIA
BD
CRD#: 110301
Poland, OH
Past
January 30, 2015 - January 20, 2016
STONEX ADVISORS INC.
RIA
CRD#: 174182
BIRMINGHAM, AL
Past
September 12, 2014 - December 28, 2015
STONEX SECURITIES INC.
BD
CRD#: 18456
CORTLAND, OH
Past
June 7, 2013 - January 30, 2015
WRP INVESTMENTS, INC.
RIA
CRD#: 7365
CORTLAND, OH
Past
January 9, 2001 - December 31, 2003
WRP INVESTMENTS, INC.
RIA
CRD#: 7365
CORTLAND, OH
Past
March 31, 1997 - September 12, 2014
WRP INVESTMENTS, INC.
BD
CRD#: 7365
CORTLAND, OH
Past
November 6, 1992 - April 18, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
November 6, 1992 - April 18, 1997
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
September 2, 1986 - November 10, 1992
BUTLER, WICK & CO., INC.
BD
CRD#: 120
YOUNGSTOWN, OH
Past
July 23, 1984 - September 16, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
July 23, 1984 - September 18, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
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".
UC
UNION CAPITAL COMPANY
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
CRD#: 110301 / SEC#: 801-121320, 8-53127
RIA
Registered Investment Advisory firm - SEC (5/26/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)California
Registered Investment Advisory firm - SEC (6/27/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/30/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
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
RR
Florida(12/28/2015)
RR
Ohio(12/28/2015)
IAR
Ohio(1/6/2016)
Exams
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UC
UNION CAPITAL COMPANY
INVERSIONISTA ONLINE, INC. | UNION CAPITAL COMPANY | INVERSIONISTA ONLINE.COM, INC.
CRD#: 110301 / SEC#: 801-121320, 8-53127
RIA
Registered Investment Advisory firm - SEC (5/26/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)California
Registered Investment Advisory firm - SEC (6/27/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Illinois
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Indiana
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (6/1/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/30/2021 Terminated)Oregon
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Texas
Registered Investment Advisory firm - SEC (5/28/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
6083 E. Grant Road, Tucson, AZ 85712
Mailing Address
6083 E. Grant Road, Tucson, AZ 85712
Phone number
(520) 664-2001
Established
Arizona since 12/30/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
17
SEC notice filing (16 States and Territories)
FINRA licenses (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 517 |
| AUM (Assets Under Management) | $ 177,000,000 |
Disclosures
| Regulatory Event | 2 |
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.
