Joshua M. 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.
Joshua Marc Brown was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1982. Joshua had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 2, Series 22 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
March 8, 2013 - September 17, 2015
ALTACCESS SECURITIES COMPANY, L.P.
July 1, 2009 - April 11, 2012
WELLS FARGO SECURITIES, LLC
January 27, 2006 - July 1, 2009
WELLS FARGO SECURITIES, LLC
January 26, 2004 - February 16, 2006
SECURED CAPITAL LLC
September 3, 1999 - February 7, 2005
SIERRA WEST SECURITIES, L.P.
March 5, 1996 - October 6, 1997
SECURITY CAPITAL MARKETS GROUP INCORPORATED
August 31, 1993 - September 13, 1994
PRENTISS PROPERTIES SECURITIES, INC.
September 11, 1992 - January 13, 1993
PRENTISS PROPERTIES REALTY ADVISORS, INC.
July 25, 1991 - September 13, 1991
PROSPERA FINANCIAL SERVICES, INC.
December 2, 1983 - February 21, 1991
SAROFIM SECURITIES CO
January 5, 1982 - October 25, 1983
COLDWELL, BANKER SECURITIES CORPORATION
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 2
Date: 9/24/1987
Non-Member General Securities ExaminationCurrent Firm
ALTACCESS SECURITIES COMPANY, L.P.
CRD#: 119441 / SEC#: , 8-65183
Contact information
FINRA licenses (53 States and Territories)
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.
