Michael G. 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.
Michael Gaetan Brown was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1982. Michael had worked at 9 firms and has passed the Series 63, Series 72, SIE, Series 3, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2021 - January 5, 2023
FRANKLIN DISTRIBUTORS, LLC
January 31, 2017 - November 16, 2021
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
May 16, 2006 - March 16, 2016
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
April 1, 2002 - March 10, 2005
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
May 30, 2000 - August 23, 2001
VISIBLE MARKETS, INC.
August 30, 1996 - April 6, 2000
ABN AMRO INCORPORATED
December 3, 1987 - August 2, 1996
PRUDENTIAL EQUITY GROUP, LLC
May 7, 1985 - October 13, 1987
TUCKER ANTHONY INCORPORATED
January 20, 1984 - May 31, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 1982 - January 25, 1984
FAM DISTRIBUTORS, 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 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 8
Date: 7/21/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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