Kenneth R. 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 Ray Brown was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1963. Kenneth had 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.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2013 - June 2, 2026
M. E. ALLISON & CO., INC.
November 30, 2012 - June 2, 2026
M. E. ALLISON & CO., INC.
January 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
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 ExaminationCurrent 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 | 499 |
| AUM (Assets Under Management) | $ 366,385,125 |
Disclosures
| Regulatory Event | 3 |
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.
