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CB

Charles E. Brown

Some features on this profile are disabled
CRD#: 2334435
CB

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.

Charles Edward Brown was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 2001. Charles had worked at 2 firms and has passed the Series 52 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 19, 2003 - March 12, 2004

SBK-BROOKS INVESTMENT CORP.

BD
CRD#: 35851
CLEVELAND, OH
Past

May 24, 2001 - April 9, 2003

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 52
Date: 5/23/2001
Municipal Securities Representative Examination

Current Firm

SI
SBK-BROOKS INVESTMENT CORP.
BSI ACQUISITION CORP. | SBK-BROOKS INVESTMENT CORP. | SBK ADVISORS

CRD#: 35851 / SEC#: , 8-46941

BD
Terminated by SEC on 10/25/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 12/02/1993
Firm type
Corporation
Fiscal year end
November
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SMALL, ERIC LOWELLPRESIDENT & CEO2140208
WARMACK, KEVIN LAVONCHIEF COMPLIANCE OFFICER2666383

Disclosures

Regulatory Event5

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.

Company Information

SBK-BROOKS INVESTMENT CORP.

CRD#: 35851

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