Donovan P. 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.
Donovan Patchett Brown JR, who also goes by Don Brown, Donovan Patchett Brown, was a registered financial professional .
Donovan is a previously registered financial professional and started their career in finance in 1983. Donovan had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 2 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
September 20, 2013 - January 30, 2014
WADDELL & REED
November 26, 1997 - September 30, 2003
NUVEEN SECURITIES, LLC
January 3, 1995 - October 8, 2003
RITTENHOUSE ASSET MANAGEMENT, INC.
July 31, 1993 - March 21, 1994
CITIGROUP GLOBAL MARKETS INC.
January 21, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
June 19, 1987 - August 22, 1989
MFS FINANCIAL SERVICES, INC.
April 8, 1986 - March 19, 1987
INVEST FINANCIAL CORPORATION
June 11, 1983 - February 6, 1986
1717 CAPITAL MANAGEMENT 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
Series 2
Date: 10/26/1982
Non-Member General Securities ExaminationCurrent Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 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.
