Robert L. 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.
Robert Lloyd Brown II, who also goes by Robert Lloyd Brown III, Robert Lloyd Ii Brown, Robert Lloyd Browwn Ii, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2012 - March 10, 2021
STRATEGIC BALANCE, LLC
June 29, 2011 - November 25, 2011
VOYA FINANCIAL ADVISORS, INC.
June 14, 2011 - November 25, 2011
VOYA FINANCIAL ADVISORS, INC.
May 5, 1999 - July 20, 2009
SCOTT & STRINGFELLOW, LLC
August 10, 1998 - July 20, 2009
SCOTT & STRINGFELLOW, LLC
July 10, 1998 - May 5, 1999
SCOTT & STRINGFELLOW, INC.
October 5, 1990 - July 13, 1998
DAVENPORT & COMPANY LLC
November 13, 1987 - October 5, 1990
LEGG MASON WOOD WALKER, INCORPORATED
November 28, 1984 - November 20, 1987
MORGAN STANLEY DW INC.
September 24, 1984 - December 20, 1984
WS GRIFFITH SECURITIES, 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
Series 8
Date: 4/9/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STRATEGIC BALANCE, LLC
CRD#: 126749 / SEC#:
Contact information
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.
