Kevin J. Browne
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.
Kevin James Browne was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1984. Kevin had worked at 6 firms and has passed the Series 63, SIE, Series 52, Series 7, Series 55, Series 3, Series 53, Series 27, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2019 - December 8, 2022
ALPS DISTRIBUTORS, INC.
October 14, 2014 - February 20, 2018
SANTANDER US CAPITAL MARKETS LLC
February 11, 2014 - October 14, 2014
AMHERST SECURITIES GROUP, L.P.
January 26, 2012 - February 3, 2014
R.W.PRESSPRICH & CO.
August 4, 1998 - October 10, 2003
BANC OF AMERICA SECURITIES LLC
September 25, 1984 - August 7, 1998
MORGAN STANLEY & CO. LLC
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
Series 55
Date: 5/23/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 7/7/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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