CK
Charles M. Kown
FNBB CAPITAL MARKETS
Birmingham, AL 35209
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CRD#: 4995120
CK
Professional summary
Charles Maxwell Kown is a registered financial advisor currently at FNBB CAPITAL MARKETS, LLC located in Birmingham, Alabama.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Charles has worked at 1 firm and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. Charles Kown LLC; Non Investment-Related; Birmingham, AL; Educational Services; Owner; 7/2017; 26 hrs/mo; <6 hrs/mo during securities trading hours; Duties includes public speaking, leadership training, coaching and basic business functions of LLC. 2. First National Bankers Bank; Investment-Related, Birmingham, AL; Bank; Senior Vice President of Business Development; 01/2005; 120 hrs/mo; 120 hrs/mo during trading hours; Duties are senior vice president of business development activities.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Maxwell Kown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Maxwell Kown's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 3, 2017 - Present
FNBB CAPITAL MARKETS, LLC
Office #1: 600 University Park Place Suite 380, Birmingham, AL 35209RIA
BD
CRD#: 132091
Birmingham, AL
Current
July 22, 2005 - Present
FNBB CAPITAL MARKETS, LLC
Office #1: 600 University Park Place Suite 380, Birmingham, AL 35209RIA
BD
CRD#: 132091
Birmingham, AL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/30/2005)
IAR
Alabama(8/3/2017)
RR
Kentucky(12/16/2022)
RR
Mississippi(12/4/2007)
IAR
Mississippi(9/13/2017)
RR
Tennessee(6/18/2007)
IAR
Tennessee(8/9/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FNBB CAPITAL MARKETS, LLC
FNBB CAPITAL MARKETS, LLC
CRD#: 132091 / SEC#: , 8-66553
Alabama
Registered Investment Advisory firm - SEC (8/2/2017 Approved)Louisiana
Registered Investment Advisory firm - SEC (8/3/2017 Approved)Mississippi
Registered Investment Advisory firm - SEC (9/6/2017 Approved)Tennessee
Registered Investment Advisory firm - SEC (8/7/2017 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
600 University Park Place Suite 380, Birmingham, AL 35209
Mailing Address
600 University Park Place Suite 380, Birmingham, AL 35209
Phone number
(205) 262-2522
Established
Louisiana since 11/24/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
29
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST NATIONAL BANKER'S BANKSHARES, INC. | PARENT COMPANY | |
| BOUDREAUX, LAURA J. | PRINCIPAL/CHIEF COMPLIANCE OFFICER/CFO/FINOP/AML OFFICER/PRINCIPAL FINANCIAL OFFICER | 4823412 |
| CORTS, CHRISTIAN HAAS | PRESIDENT/CHIEF EXECUTIVE OFFICER/DESIGNATED PRINCIPAL/EVP/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER | 2581628 |
| QUINLAN, JOSEPH FRANCIS JR | MEMBER | 1579877 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FNBB CAPITAL MARKETS, LLC
CRD#: 132091Birmingham, AL 35209TRUST BUT VERIFY
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