Michael J. Brown
Professional summary
Michael John Brown was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Michael had worked at 6 firms, which includes UNITED SECURITIES ALLIANCE INC., NYLIFE SECURITIES LLC, NEW ENGLAND SECURITIES, PFS INVESTMENTS INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 1999 - April 17, 2001
UNITED SECURITIES ALLIANCE, INC.
August 12, 1997 - May 21, 1999
NYLIFE SECURITIES LLC
April 12, 1995 - July 16, 1997
NEW ENGLAND SECURITIES
March 1, 1993 - December 31, 1994
PFS INVESTMENTS INC.
June 12, 1991 - November 6, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 12, 1991 - November 6, 1992
PRUCO SECURITIES, LLC.
January 17, 1984 - June 29, 1990
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Exams
Current Firm
UNITED SECURITIES ALLIANCE, INC.
CRD#: 36487 / SEC#: , 8-47282
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| US ALLIANCE HOLDINGS, INC. | OWNER | |
| BLOOMINGKEMPER, RONALD KEITH | CHAIRMAN OF BOARD | 1087036 |
| CANNELLA, JEFFREY JAMES | PRESIDENT, CHIEF COMPLIANCE OFFICER, SROP/CROP | 2236889 |
| DAVIS, DANA LORAINE | INSURANCE PRINCIPAL, IA/CCO | 1715382 |
| JONES, MICHAEL WASHINGTON | EXECUTIVE VICE PRESIDENT / DIRECTOR | 3248874 |
| PETRINOVICH, RONALD JAMES | DIRECTOR | 1099207 |
| SUTHERLAND, PATRICK EMANUEL | DIRECTOR/FINOP | 3042322 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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