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CK

Charles E. Kasun

Some features on this profile are disabled
CRD#: 264836
CK

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 Kasun was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1973. Charles had worked at 9 firms and has passed the Series 63, Series 3, Series 000 and Series 1 exams.

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

January 11, 1993 - December 31, 1994

JOHN G. KINNARD AND COMPANY, INCORPORATED

BD
CRD#: 466
Past

April 16, 1992 - January 14, 1993

PROTECTIVE GROUP SECURITIES CORPORATION

BD
CRD#: 6757
Past

November 3, 1987 - December 31, 1990

MILLER JOHNSON STEICHEN KINNARD, INC.

BD
CRD#: 694
Past

July 19, 1985 - August 26, 1986

DICKINSON & CO.

BD
CRD#: 689
Past

July 10, 1984 - July 22, 1985

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

April 20, 1982 - July 26, 1984

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

April 16, 1981 - April 28, 1982

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Past

April 17, 1980 - April 18, 1981

FIRST FINANCIAL SECURITIES, INC.

BD
CRD#: 6758
Past

March 21, 1978 - May 15, 1980

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

May 15, 1973 - May 5, 1978

BOSWORTH SULLIVAN & COMPANY INCORPORATED

BD
CRD#: 103

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

State Security Law Exam
RR
Series 63
Date: 8/22/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 4/19/1994
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 000
Date: 5/11/1973
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 5/11/1973
Registered Representative Examination

Current Firm

JG
JOHN G. KINNARD AND COMPANY, INCORPORATED
JOHN G. KINNARD AND COMPANY, INCORPORATED

CRD#: 466 / SEC#: , 8-11061

BD
Terminated by SEC on 06/02/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
Minnesota since 09/05/1962
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STOCKWALK GROUP, INC.PARENT COMPANY
HOUDEK, JEFFREY LONNFINOP/CFO2664944
JOHNSON, DAVID BRUCEDIRECTOR259171
MILLER, ELDON CHARLESDIRECTOR334711
SCHIERMAN, MICHAEL BERNARDDIRECTOR OF COMPLIANCE2353419

Disclosures

Regulatory Event16
Arbitration7
Bond6

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

JOHN G. KINNARD AND COMPANY, INCORPORATED

CRD#: 466

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