Joseph N. Kain
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.
Joseph Nathan Kain was a registered financial advisor .
Joseph is a previously registered financial advisor and started their career in finance in 1979. Joseph had worked at 6 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2010 - November 20, 2014
SUNFLOWER ASSET MANAGEMENT INC.
February 16, 1993 - September 23, 2008
BANKERS & INVESTORS CO.
May 9, 1990 - February 16, 1993
CETERA ADVISORS LLC
November 7, 1989 - May 15, 1990
TITAN/VALUE EQUITIES GROUP, INC.
August 10, 1987 - December 31, 2009
SUNFLOWER ASSET MANAGEMENT INC.
August 10, 1984 - November 7, 1989
VALUE EQUITIES CORPORATION
July 3, 1984 - July 30, 1984
VALUE EQUITIES CORPORATION
May 16, 1979 - July 31, 1984
INDEPENDENT INVESTORS SERVICES, 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
Series 1
Date: 5/4/1979
Registered Representative ExaminationCurrent Firm
SUNFLOWER ASSET MANAGEMENT INC.
CRD#: 107057 / SEC#: 801-23147
Contact information
Red Flags
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