Kenneth L. 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 Lovell Brown, who also goes by Ken Brown, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1989. Kenneth had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 53, Series 51, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2015 - April 5, 2016
NATIONAL PLANNING CORPORATION
September 30, 2015 - April 5, 2016
NATIONAL PLANNING CORPORATION
May 20, 2011 - September 29, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
May 10, 2011 - September 29, 2015
J.P. TURNER & COMPANY, L.L.C.
January 21, 2009 - May 10, 2011
MORGAN KEEGAN & COMPANY, LLC
April 30, 2008 - May 10, 2011
MORGAN KEEGAN & COMPANY, LLC
September 29, 2003 - August 15, 2008
NORTH COAST SECURITIES CORPORATION
September 20, 2000 - February 11, 2004
FIRST ALLIED SECURITIES, INC.
September 15, 2000 - February 11, 2004
FIRST ALLIED SECURITIES, INC.
November 30, 1999 - September 18, 2000
FSC SECURITIES CORPORATION
July 19, 1995 - November 17, 1999
FAIRCHILD FINANCIAL GROUP, INC.
July 11, 1994 - August 18, 1995
RICKEL & ASSOCIATES, INC.
January 24, 1989 - August 2, 1994
F.N. WOLF & CO., 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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
