Thomas 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.
Thomas Gary Brown, who also goes by Tom Brown, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 4 firms and has passed the Series 7 and Series 16 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2004 - August 26, 2004
SHATTUCK HAMMOND PARTNERS LLC
October 30, 1989 - January 7, 1993
NEWPORT COAST SECURITIES, INC.
July 1, 1986 - October 6, 1989
NEWHARD, COOK & CO. INCORPORATED
March 13, 1986 - June 17, 1986
DIEHL & COMPANY
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
SHATTUCK HAMMOND PARTNERS LLC
CRD#: 113645 / SEC#: , 8-53344
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BECK, JOSEPH GERARD | MEMBER, DIRECTOR | 1608980 |
| CAMP, PHILIP JAGO | MEMBER, DIRECTOR | 4484402 |
| GUERNIER, MICHAEL SCOTT | MEMBER, FINOP, DIRECTOR | 1725155 |
| HAMMOND, MICHAEL BENNETT | MEMBER, PRESIDENT/CEO, DIRECTOR, NY BRANCH SUPERVISOR | 721201 |
| HANLON, WILLIAM BURNS III | MEMBER, DIRECTOR, ATLANTA BRANCH SUPERVISOR | 1734087 |
| KORNBLIT, MITCHELL LEWIS | MEMBER, DIRECTOR, CHIEF COMPLIANCE OFFICER, SF BRANCH OFFICER | 1793626 |
| COBURN, ERIC DEAN | MEMBER | 1993955 |
| CHAMBERLAIN, GRANT ROBERT | MEMBER, CHICAGO BRANCH SUPERVISOR | 1698976 |
| LORENTI, RICHARD JOSEPH | MEMBER, TREASURER, SECRETARY | 1315567 |
Disclosures
| Regulatory Event | 1 |
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.
