Kenneth E. 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 Earl Brown was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1973. Kenneth had worked at 7 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2003 - September 26, 2012
STERLING ENTERPRISES GROUP, INC.
April 1, 1999 - September 4, 2003
JONATHAN ROBERTS FINANCIAL GROUP, INC.
March 15, 1998 - April 1, 1999
SOUTHERN CAPITAL SECURITIES, INC.
March 23, 1992 - March 5, 1998
GUARDIAN INVESTOR SERVICES LLC
August 23, 1973 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 23, 1973 - February 4, 1992
IDS LIFE INSURANCE COMPANY
August 23, 1973 - February 4, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
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 1
Date: 8/21/1973
Registered Representative ExaminationCurrent Firm
STERLING ENTERPRISES GROUP, INC.
CRD#: 44915 / SEC#: , 8-50876
Contact information
Documents
Disclosures
| Arbitration | 2 |
Red Flags
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