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AB

Anthony V. Brown

ALLY INVEST SECURITIES
Charlotte, NC 28202
Some features on this profile are disabled
CRD#: 1016228
AB

Professional summary

Anthony Vincent Brown, who also goes by Anthony VIncent Brown, Tony Brown, Anthony Vincdent Brown, is a registered financial professional currently at ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1982. Anthony has worked at 8 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 15, Series 7, Series 24, Series 8, Series 27 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anthony Vincent Brown | Tony Brown | Anthony Vincdent Brown

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anthony Vincent Brown's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 24, 2019 - Present

ALLY INVEST SECURITIES LLC

Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202
BD
CRD#: 136131
Charlotte, NC
Past

February 14, 1992 - January 19, 2007

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BOSTON, MA
Past

June 1, 1990 - August 6, 1991

G. R. PHELPS & CO., INC.

BD
CRD#: 173
Past

May 26, 1989 - May 10, 1990

CITISTREET EQUITIES LLC

BD
CRD#: 7447
SOMERSET, NJ
Past

February 26, 1987 - November 25, 1988

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

June 27, 1985 - November 18, 1986

EASTERN CAPITAL SECURITIES, INC.

BD
CRD#: 14743
Past

May 21, 1984 - January 18, 1985

CCA SECURITIES, INC.

BD
CRD#: 14726
Past

May 10, 1984 - August 27, 1984

EASTERN CAPITAL SECURITIES, INC.

BD
CRD#: 14743
Past

June 28, 1982 - June 14, 1984

EASTERN CAPITAL CORPORATION

BD
CRD#: 7910

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/24/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/20/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/20/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 15
Date: 12/7/1983
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/18/2020
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 8/19/1996
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 27
Date: 6/9/1987
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/14/1983
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ALLY INVEST SECURITIES LLC
ALLY INVEST SECURITIES LLC | TRADEKING SECURITIES LLC | TRADEKING LLC | TRADEKING | KANE REID SECURITIES GROUP, INC.

CRD#: 136131 / SEC#: , 8-66982

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
601 S Tryon Street Suite 100, Charlotte, NC 28202
Mailing Address
P.o. Box 30248, Charlotte, NC 28230
Phone number
(855) 880-2559
Established
Delaware since 08/23/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLY INVEST GROUP INC.OWNER
LIETKE, FRANK GREGORYPRESIDENT6900716
MARTIN, ALEX MICHAELPRINCIPAL FINANCIAL OFFICER5639666
POWELL, BENJAMIN TRACYPRINCIPAL OPERATIONS OFFICER2438200
SYKES, ROBERT CHRISTOPHERCHIEF COMPLIANCE OFFICER2775993

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

ALLY INVEST SECURITIES LLC

CRD#: 136131Charlotte, NC 28202

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