Wesley A. 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.
Wesley Alan Brown was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 1983. Wesley had worked at 6 firms and has passed the Series 63, SIE, 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
June 26, 2014 - November 9, 2015
KPMG CORPORATE FINANCE LLC
March 2, 2005 - July 2, 2014
ST. CHARLES CAPITAL, LLC
December 31, 2000 - January 20, 2005
KEYBANC CAPITAL MARKETS INC.
March 18, 1991 - December 31, 2000
THE WALLACH COMPANY, INC.
September 4, 1990 - January 31, 1991
WELLS FARGO CLEARING SERVICES, LLC
August 24, 1983 - September 4, 1990
BOETTCHER & COMPANY, 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
KPMG CORPORATE FINANCE LLC
CRD#: 103973 / SEC#: , 8-52462
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
