Kevin M. 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.
Kevin Matthew Brown, who also goes by Kevin M Brown, Kevin Matthew Brown, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2003. Kevin had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2021 - August 31, 2022
ALLSTATE FINANCIAL SERVICES, LLC
August 18, 2021 - August 31, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
July 28, 2016 - June 28, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 2016 - June 28, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2015 - July 12, 2016
INVESTMENT PROFESSIONALS, INC.
August 18, 2015 - July 12, 2016
INVESTMENT PROFESSIONALS, INC.
March 28, 2013 - August 26, 2015
PRUCO SECURITIES, LLC.
March 20, 2013 - August 26, 2015
PRUCO SECURITIES, LLC.
August 19, 2010 - January 24, 2013
VALIC FINANCIAL ADVISORS, INC.
August 2, 2010 - January 24, 2013
VALIC FINANCIAL ADVISORS, INC.
January 19, 2007 - August 3, 2010
EDWARD JONES
January 19, 2007 - August 3, 2010
EDWARD JONES
November 11, 2005 - November 21, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2005 - November 21, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2003 - October 21, 2005
NYLIFE SECURITIES 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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| 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.
