Joseph 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.
Joseph Brown JR was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1982. Joseph had worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 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
October 10, 2012 - April 28, 2021
STURDIVANT & CO. INC
April 7, 2010 - October 9, 2012
APB FINANCIAL GROUP, LLC
August 25, 2003 - February 11, 2010
MAGNA
January 14, 2002 - August 7, 2003
LEEB BROKERAGE SERVICES, INC.
June 6, 2000 - October 29, 2001
CROWN FINANCIAL GROUP, INC.
March 22, 2000 - May 25, 2000
PACIFIC CONTINENTAL SECURITIES CORPORATION
December 22, 1997 - June 11, 1998
DAIWA CAPITAL MARKETS AMERICA INC.
March 19, 1997 - December 23, 1997
WR LAZARD, LAIDLAW INCORPORATED
July 14, 1993 - March 19, 1997
WILSON INSTITUTIONAL SECURITIES, INC.
September 8, 1992 - July 19, 1993
CROWN FINANCIAL GROUP, INC.
October 4, 1985 - June 18, 1992
HAPOALIM SECURITIES USA, INC.
October 21, 1982 - September 28, 1984
BECKER PARIBAS INCORPORATED
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
STURDIVANT & CO. INC
CRD#: 24583 / SEC#: , 8-41204
Contact information
FINRA licenses (8 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
