Kenneth A. 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 A Brown, who also goes by Kenneth A Brown Mr., was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 2001. Kenneth had worked at 4 firms and has passed the Series 63, SIE 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
November 12, 2019 - November 1, 2021
CORECAP INVESTMENTS, LLC
June 21, 2017 - November 13, 2019
AMERITAS INVESTMENT COMPANY, LLC
September 6, 2012 - June 21, 2017
CCF INVESTMENTS, INC.
January 29, 2008 - February 24, 2011
PFS INVESTMENTS INC.
November 29, 2001 - December 31, 2007
PFS INVESTMENTS 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
CORECAP INVESTMENTS, LLC
CRD#: 37068 / SEC#: , 8-47783
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 8 |
| 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.
