Kevin P. Browne
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.
Kevin Patrick Browne was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2000. Kevin had worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2012 - May 20, 2013
BLUEROCK CAPITAL MARKETS LLC
September 9, 2010 - August 15, 2012
KBS CAPITAL MARKETS GROUP LLC
April 2, 2004 - September 7, 2010
JOHN HANCOCK DISTRIBUTORS LLC
June 7, 2002 - February 27, 2004
GUARDIAN INVESTOR SERVICES LLC
February 27, 2001 - February 1, 2002
ALLIANZ LIFE FINANCIAL SERVICES, LLC
February 29, 2000 - January 19, 2001
GLOBAL ATLANTIC DISTRIBUTORS, 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
Current Firm
BLUEROCK CAPITAL MARKETS LLC
CRD#: 136974 / SEC#: , 8-67058
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
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.
