David P. Brown
Professional summary
David Paul Brown is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Baltimore, Maryland and TRUIST INVESTMENT SERVICES, INC. located in Baltimore, Maryland.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. David has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Paul Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 13, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 120 E Baltimore St Fl 24, Baltimore, MD 21202December 4, 2015 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 120 E Baltimore St Fl 23, Baltimore, MD 21202December 4, 2015 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
February 1, 2008 - December 15, 2015
UBS FINANCIAL SERVICES INC.
February 1, 2008 - December 15, 2015
UBS FINANCIAL SERVICES INC.
October 28, 2003 - February 1, 2008
BROWN ADVISORY SECURITIES, LLC
January 2, 2003 - October 10, 2003
BROWN ADVISORY SECURITIES, LLC
January 2, 2003 - February 1, 2008
BROWN ADVISORY SECURITIES, LLC
January 13, 2001 - January 8, 2003
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
September 1, 1993 - January 8, 2003
DEUTSCHE BANK SECURITIES INC.
October 5, 1981 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/2/2020)
(12/4/2015)
(2/28/2022)
(12/4/2015)
(12/4/2015)
(4/14/2021)
(12/11/2015)
(12/4/2015)
(12/4/2015)
(7/22/2019)
(3/21/2023)
(7/26/2016)
(12/16/2015)
(3/21/2023)
(3/23/2023)
(4/9/2018)
(2/11/2019)
(3/21/2023)
(12/4/2015)
(9/13/2016)
(12/4/2015)
(9/8/2020)
(3/22/2023)
(2/11/2019)
(9/16/2020)
(9/8/2020)
(12/23/2015)
(2/8/2019)
(12/4/2015)
(12/4/2015)
(12/4/2015)
(2/11/2019)
(12/4/2015)
(12/4/2015)
(4/15/2019)
(12/4/2015)
(4/11/2025)
(4/10/2019)
(12/4/2015)
(3/13/2017)
(9/3/2020)
(12/4/2015)
(12/4/2015)
(7/27/2020)
(9/2/2020)
(9/2/2020)
Exams
Series 8
Date: 4/19/1996
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
