Marcia H. 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.
Marcia H Brown, who also goes by Marcia Ellen Harker, Marcia Harker Novick, was a registered financial professional .
Marcia is a previously registered financial professional and started their career in finance in 1982. Marcia had worked at 8 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2011 - March 21, 2012
WADSWORTH INVESTMENT CO., INC.
August 22, 2008 - January 19, 2010
CHARLES SCHWAB & CO., INC.
June 18, 1991 - January 19, 2010
CHARLES SCHWAB & CO., INC.
July 19, 1989 - October 10, 1990
KIDDER, PEABODY & CO. INCORPORATED
November 7, 1985 - June 12, 1989
KIDDER, PEABODY & CO. INCORPORATED
February 13, 1984 - March 15, 1984
BIRR, WILSON & CO., INC.
January 31, 1984 - November 12, 1985
MUNICICORP OF CALIFORNIA
January 23, 1984 - February 14, 1984
CALIFORNIA MUNICIPAL INVESTORS, INC.
August 13, 1983 - November 11, 1983
HAMBRECHT & QUIST LLC
May 24, 1982 - January 19, 1983
A. G. EDWARDS & SONS, 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
Current Firm
WADSWORTH INVESTMENT CO., INC.
CRD#: 5844 / SEC#: , 8-16538
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
