Sherri L. 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.
Sherri Lynn Brown, who also goes by Sherri Lynn Kennedy, was a registered financial professional .
Sherri is a previously registered financial professional and started their career in finance in 2002. Sherri had worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2014 - September 6, 2016
FIRST STATE FINANCIAL MANAGEMENT, INC.
January 17, 2013 - July 15, 2014
W&S BROKERAGE SERVICES, INC.
November 2, 2009 - January 26, 2012
W&S BROKERAGE SERVICES, INC.
May 6, 2005 - December 22, 2008
W&S BROKERAGE SERVICES, INC.
May 29, 2002 - December 10, 2003
W&S BROKERAGE SERVICES, INC.
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
FIRST STATE FINANCIAL MANAGEMENT, INC.
CRD#: 16590 / SEC#: , 8-34201
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST STATE BANK SHARES | CORPORATE OWNER | |
| EVANS, SUSAN MAE | PRESIDENT, CCO, FINOP | 1477055 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
