John J. 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.
John J. Brown, who also goes by John Joseph Brown, John Brown, John J. J. Brown, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 6 firms and has passed the Series 63, Series 7TO, 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
April 6, 2017 - June 4, 2020
BRITEHORN SECURITIES
October 19, 2012 - October 7, 2015
UBS SECURITIES LLC
February 23, 2010 - October 7, 2015
UBS FINANCIAL SERVICES INC.
November 19, 2009 - October 7, 2015
UBS FINANCIAL SERVICES INC.
January 7, 2005 - June 5, 2009
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
July 22, 2004 - June 5, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 10, 2001 - June 5, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 7, 1998 - March 15, 2001
COWEN AND COMPANY
April 4, 1995 - April 27, 1998
UBS SECURITIES LLC
May 20, 1982 - March 7, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 7TO
Date: 12/19/2022
General Securities Representative ExaminationSeries 55
Date: 11/9/1999
Limited Representative-Equity Trader ExamCurrent Firm
BRITEHORN SECURITIES
CRD#: 36402 / SEC#: , 8-47217
Contact information
FINRA licenses (52 States and Territories)
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.
