Kyle B. Rowe
Professional summary
Kyle Browning Rowe was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kyle is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Kyle had worked at 4 firms, which includes SALOMON GREY FINANCIAL CORPORATION, PACIFIC CORTEZ SECURITIES INCORPORATED, FIRST ASSOCIATED SECURITIES GROUP INC., AMR SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 1998 - May 1, 2006
SALOMON GREY FINANCIAL CORPORATION
May 12, 1994 - November 11, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
September 20, 1993 - May 5, 1994
FIRST ASSOCIATED SECURITIES GROUP, INC.
April 26, 1993 - July 19, 1993
AMR SECURITIES, 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
Series 55
Date: 2/2/1999
Limited Representative-Equity Trader ExamCurrent Firm
SALOMON GREY FINANCIAL CORPORATION
CRD#: 43413 / SEC#: , 8-50268
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 5 |
| Financial | 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.
