Stephen M. Brown
Professional summary
Stephen Michael Brown was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Stephen had worked at 6 firms, which includes BEST DIRECT SECURITIES LLC, CONCORDIUS CAPITAL ADVISORS, BREWER INVESTMENT ADVISORS LLC, BREWER FINANCIAL SERVICES LLC, LPL FINANCIAL LLC, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2010 - May 5, 2011
BEST DIRECT SECURITIES, LLC
November 5, 2010 - May 5, 2011
CONCORDIUS CAPITAL ADVISORS
May 21, 2009 - November 5, 2010
BREWER INVESTMENT ADVISORS LLC
May 21, 2009 - November 5, 2010
BREWER FINANCIAL SERVICES, LLC
August 8, 1989 - May 27, 2009
LPL FINANCIAL LLC
August 5, 1989 - May 27, 2009
LPL FINANCIAL LLC
December 22, 1983 - August 10, 1989
EDWARD JONES
State Registrations and Notice Filings
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Exams
Current Firm
BEST DIRECT SECURITIES, LLC
CRD#: 146053 / SEC#: , 8-67777
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEREGRINE FINANCIAL GROUP, INC | OWNER / SOLE MEMBER | |
| LISHCHYNSKY, MARK JOHN JR | CHIEF COMPLIANCE OFFICER | 2478952 |
| LISHCHYNSKY, MARK JOHN JR | PRESIDENT | 2478952 |
| SADZEWICZ, GERY JOSEPH | FINOP | 1090963 |
| TEGTMEIER, JAMES GORDON | BRANCH OFFICE MANAGER / GENERAL SECURITIES PRINCIPAL | 4042452 |
| TEGTMEIER, JAMES GORDON | SROP & CROP | 4042452 |
Red Flags
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