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Kevin Brown

Union Capital Company
42 Years of Experience
Poland, OH
6 DisclosuresBrokerSells Insurance
View SEC Summary
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Kevin Brown is a registered investment advisor at Union Capital Company, based in Poland, OH, with 42 years of industry experience. Kevin is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Insurance Planning, Investment Management, Retirement Planning. Their firm serves 414 clients with $150M in assets under management.

Union Capital Company
Compensation
Commission-BasedFee-Only (% of Portfolio)
Firm Size
10 advisors
Number of Clients
414 clients
Average Client Portfolio
$362K average
Assets Under Management
$150.0M

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $5.0M2.00%
$5.0M - $10.0M1.75%
$10M+1.75%

Fees range from 0.60% to 2.00% for assets up to $5M, and 0.40% to 1.75% for assets between $5M and $10M. Fees are negotiable for accounts over $10M and depending on account size, prior relationship, or other factors.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Poland, OH

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
September 2014
Judgment / Lien
January 2012
Judgment / Lien
June 2010
Judgment / Lien
June 2009
Judgment / Lien
May 2009
Judgment / Lien
January 1996
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Kevin is a 50% partner and VP at Specialty Insurance and Financial Services, selling various insurance products and managing the business, dedicating about a quarter of his time. He also owns K & T Realty of Trumbull, a rental property business, spending minimal time as a landlord.

Employment History
Current Registrations
Union Capital Company
January 2016 - Present · 10 yrs 9 mos
Union Capital CompanyBroker
December 2015 - Present · 10 yrs 10 mos
Previous Registrations
Sterne Agee Investment Advisor Services, INC.
January 2015 - January 2016 · 1 yr
Sterne Agee Financial Services, INC.Broker
September 2014 - December 2015 · 1 yr 3 mos
Sterne Agee Investment Advisor Services, INC.
June 2013 - January 2015 · 1 yr 7 mos
Wrp Investments, INC.
January 2001 - December 2003 · 2 yrs 11 mos
Wrp Investments, INC.Broker
March 1997 - September 2014 · 17 yrs 6 mos
Lincoln Financial Advisors CorporationBroker
November 1992 - April 1997 · 4 yrs 5 mos
The Lincoln National Life Insurance CompanyBroker
November 1992 - April 1997 · 4 yrs 5 mos
Butler, Wick & CO., INC.Broker
September 1986 - November 1992 · 6 yrs 2 mos
Ids Marketing CorporationBroker
July 1984 - September 1986 · 2 yrs 2 mos
Ids Financial Services INC.Broker
July 1984 - September 1986 · 2 yrs 2 mos
State Registrations2 states
FLOH
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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