David P. Brown
Professional summary
David Peter Brown is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in Rockville, Maryland.
David is registered as a RR (Registered Representative) and started their career in finance in 1983. David has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Peter Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 10, 2019 - Present
CEROS FINANCIAL SERVICES, INC.
Office #1: 1445 Research Boulevard Suite 530, Rockville, MD 20850July 2, 2014 - July 12, 2017
FIDELITY BROKERAGE SERVICES LLC
May 14, 1991 - July 12, 2017
NATIONAL FINANCIAL SERVICES LLC
October 3, 1988 - June 6, 1990
DOMINICK & DICKERMAN LLC
February 18, 1987 - October 3, 1988
DOMIK CORP.
February 8, 1983 - February 3, 1987
SECURITIES SETTLEMENT 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
(6/10/2019)
(6/10/2019)
Exams
FINRA
Nasdaq Stock Market
Current Firm
CEROS FINANCIAL SERVICES, INC.
CRD#: 37869 / SEC#: , 8-47955
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
