Donald W. 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.
Donald Wayne Brown, who also goes by Wayne Donald Brown, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1983. Donald had worked at 8 firms and has passed the Series 63, Series 55, Series 7, Series 53 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
November 15, 2000 - June 18, 2003
VIEWTRADE SECURITIES, INC.
January 3, 1995 - November 21, 2000
BARRON CHASE SECURITIES, INC.
March 3, 1994 - November 15, 1994
WALL STREET STRATEGIES, INC.
March 3, 1994 - November 21, 1994
NATIONAL CAPITAL TRADING, LLC
February 20, 1992 - February 18, 1993
ANDREWS, HENTGES & ASSOCIATES, INC.
April 2, 1990 - October 18, 1990
DFW CLEARING, INC.
January 4, 1990 - August 15, 1990
DFW SECURITIES, INC.
July 19, 1983 - January 20, 1990
ANDERSON, BRYANT & CO.
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 55
Date: 1/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
VIEWTRADE SECURITIES, INC.
CRD#: 46987 / SEC#: , 8-51605
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
| Arbitration | 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.
