Kenneth R. Brown
Professional summary
Kenneth Ray Brown is a registered financial advisor currently at M. E. ALLISON & CO., INC. located in San Antonio, Texas.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1963. Kenneth has worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE, PC, Series 5, Series 1, Series 24, Series 9, Series 10, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Ray Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Ray Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 6, 2013 - Present
M. E. ALLISON & CO., INC.
Office #1: 950 E. Basse Road 2nd Fl., San Antonio, TX, 78209November 30, 2012 - Present
M. E. ALLISON & CO., INC.
Office #1: 950 East Basse Road Second Floor, San Antonio, TX 78209-1831January 18, 2005 - January 2, 2013
PRESIDIO FINANCIAL SERVICES, INC.
January 2, 2004 - February 4, 2005
HILLTOP SECURITIES INC.
August 18, 1988 - February 4, 2005
HILLTOP SECURITIES INC.
May 31, 1988 - December 31, 1996
HILLTOP SECURITIES INC.
February 12, 1985 - June 3, 1988
THOMSON MCKINNON SECURITIES INC.
December 17, 1968 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
February 12, 1963 - April 19, 1980
AMERICAN GENERAL EQUITY SERVICES CORPORATION
Primary Firm SEC Registration
M. E. ALLISON & CO., INC.
CRD#: 1047 / SEC#: 801-129805, 8-1402
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/29/2016)
(2/7/2013)
(11/30/2012)
(8/6/2013)
(7/10/2023)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 5/16/1985
AMEX Put and Call ExamSeries 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 1
Date: 2/3/1963
Registered Representative ExaminationSeries 8
Date: 9/1/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 12/4/1971
Registered Principal ExaminationFINRA
Current Firm
M. E. ALLISON & CO., INC.
CRD#: 1047 / SEC#: 801-129805, 8-1402
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 405 |
| AUM (Assets Under Management) | $ 287,435,346 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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