Kaine T. Alozie
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.
Kaine Theophilus Alozie, CFA, who also goes by Ken Alozie, was a registered financial professional .
Kaine is a previously registered financial professional and started their career in finance in 2007. Kaine had worked at 3 firms and has passed the Series 66, 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
May 18, 2016 - November 7, 2018
SBSB FINANCIAL ADVISORS
August 15, 2012 - December 19, 2015
MORGAN STANLEY
August 15, 2012 - December 19, 2015
MORGAN STANLEY
September 7, 2011 - April 30, 2012
MORGAN STANLEY
June 29, 2011 - April 30, 2012
MORGAN STANLEY
September 25, 2007 - August 6, 2008
P & M CORPORATE FINANCE, LLC
State Registrations and Notice Filings
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Exams
Current Firm
SBSB FINANCIAL ADVISORS
CRD#: 109732 / SEC#: 801-38301
Contact information
Red Flags
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