Kenneth Brown
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.
Kenneth Brown was a registered financial advisor .
Kenneth is a previously registered financial advisor and started their career in finance in 1984. Kenneth had worked at 6 firms and has passed the Series 65, Series 63, Series 7, 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
June 7, 2002 - January 4, 2010
NFSG CORPORATION
September 24, 2001 - January 4, 2010
NEWBRIDGE SECURITIES CORPORATION
February 20, 2001 - May 22, 2001
VFINANCE CAPITAL LC
January 19, 2000 - September 21, 2001
FIRST COLONIAL SECURITIES
October 11, 1989 - January 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
December 18, 1984 - October 12, 1989
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
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 8
Date: 4/20/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NFSG CORPORATION
CRD#: 130814 / SEC#: 801-68448
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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