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BB

Brody J. Browe

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CRD#: 4143782
BB

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.

Brody Joseph Browe was a registered financial professional .

Brody is a previously registered financial professional and started their career in finance in 2000. Brody had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

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

August 17, 2022 - December 3, 2025

KA ASSOCIATES, LLC

BD
CRD#: 32029
LOS ANGELES, CA
Past

January 28, 2013 - December 16, 2021

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
PHILADELPHIA, PA
Past

September 16, 2008 - March 2, 2011

MORGAN STANLEY INVESTMENT ADVISORS INC.

RIA
CRD#: 104525
GLENVIEW, IL
Past

January 25, 2008 - March 2, 2011

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

April 2, 2007 - February 7, 2008

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
PURCHASE, NY
Past

April 2, 2007 - February 7, 2008

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PURCHASE, NY
Past

January 2, 2003 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

December 20, 2002 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
PURCHASE, NY
Past

May 18, 2000 - May 22, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHICAGO, IL
Past

April 10, 2000 - May 22, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
IAR
Series 66
Date: 5/2/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/7/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/23/2017
General Securities Principal Examination

Current Firm

KA
KA ASSOCIATES, LLC
KA ASSOCIATES, INC. | KA ASSOCIATES, LLC

CRD#: 32029 / SEC#: , 8-45640

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2121 Avenue Of The Stars 9th Floor, Los Angeles, CA 90067
Mailing Address
2121 Avenue Of The Stars 9th Floor, Los Angeles, CA 90067
Phone number
(310) 282-7900
Established
Nevada since 05/10/2024
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KAYNE, RICHARD ALANSHAREHOLDER
KAYNE ANDERSON CAPITAL ADVISORS LPSHAREHOLDER104536
O'NEIL, MICHAEL JOSEPH JRPRESIDENT, CHIEF COMPLIANCE OFFICER, AND SECRETARY6043576
STAPLETON, PAUL FRANCISFINOP, CFO, PFO, POO, AND TREASURER4848451

Disclosures

Regulatory Event1

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

KA ASSOCIATES, LLC

CRD#: 32029

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