Bob 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.
Bob Diggs Brown, who also goes by Robert Diggs Brown Jr, was a registered financial professional .
Bob is a previously registered financial professional and started their career in finance in 1984. Bob had worked at 8 firms and has passed the Series 66, 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
January 4, 2006 - September 14, 2012
INVESTMENT CENTERS OF AMERICA, INC.
September 1, 2005 - September 14, 2012
INVESTMENT CENTERS OF AMERICA, INC.
February 7, 2001 - July 15, 2005
CETERA INVESTMENT SERVICES LLC
June 21, 1999 - February 7, 2001
INVEST FINANCIAL CORPORATION
July 31, 1998 - February 17, 1999
IDS LIFE INSURANCE COMPANY
July 31, 1998 - February 17, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
September 22, 1987 - October 14, 1987
MILKIE/FERGUSON INVESTMENTS, INC.
April 8, 1987 - September 29, 1987
RAUSCHER PIERCE REFSNES, INC.
July 26, 1984 - April 28, 1987
ROTAN MOSLE 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
INVESTMENT CENTERS OF AMERICA, INC.
CRD#: 16443 / SEC#: 801-56410, 8-33983
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVEST FINANCIAL CORPORATION | DIRECT OWNER | 12984 |
| COLEMAN, CAREN LESLIE | VP, NPH PRODUCT AND SPONSOR RELATIONS | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NPH | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| KALINOWSKI, DAWN MARIE | SVP/COO | 2770565 |
| KOMOSZEWSKI, JAMES ANTHONY | PRESIDENT/CEO/DIRECTOR | 2833256 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP & CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND ICA SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP OPERATIONS | 1955960 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
| Bond | 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.
