James D. 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.
James Douglas Brown, who also goes by Jim Brown, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 6 firms and has passed the Series 63, 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 15, 2010 - June 25, 2012
INDEPENDENCE ADVISORS, LLC
May 9, 1995 - October 31, 2000
INVESTEC INC.
September 2, 1993 - July 9, 2010
INDEPENDENCE ADVISORS INC
August 26, 1987 - July 21, 1993
VALLEY FORGE ASSET MANAGEMENT, LLC
March 2, 1987 - August 25, 1987
VANGUARD MARKETING CORPORATION
November 22, 1983 - January 28, 1987
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INDEPENDENCE ADVISORS, LLC
CRD#: 153687 / SEC#: 801-71449
Contact information
Red Flags
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