Gary F. 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.
Gary Francis Brown was a registered financial advisor .
Gary is a previously registered financial advisor and started their career in finance in 1984. Gary 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
January 1, 2010 - August 21, 2018
ESSEX SECURITIES LLC
May 1, 2002 - January 1, 2010
INVESTORS CAPITAL CORP.
April 23, 1992 - May 2, 2002
LPL FINANCIAL LLC
April 20, 1992 - May 2, 2002
LPL FINANCIAL LLC
March 29, 1990 - April 14, 1992
A. G. EDWARDS & SONS, INC.
October 12, 1987 - April 4, 1990
LEHMAN BROTHERS INC.
May 25, 1984 - October 20, 1987
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ESSEX SECURITIES LLC
CRD#: 46605 / SEC#: , 8-51472
Contact information
FINRA licenses (38 States and Territories)
Disclosures
| Regulatory Event | 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.
