Robert K. 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.
Robert Kenneth Brown, who also goes by Robert K. Brown, Sam Brown, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2008. Robert had worked at 6 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
December 5, 2019 - March 5, 2025
ESSEX SECURITIES LLC
November 5, 2019 - December 23, 2019
CABOT LODGE SECURITIES LLC
April 26, 2016 - December 11, 2019
IFS SECURITIES
October 24, 2011 - May 10, 2016
SUMMIT BROKERAGE SERVICES, INC.
September 8, 2009 - August 31, 2011
LPL FINANCIAL LLC
February 14, 2008 - September 8, 2009
MUTUAL SERVICE CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ESSEX SECURITIES LLC
CRD#: 46605 / SEC#: , 8-51472
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
