Walter J. 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.
Walter James Brown JR, who also goes by Jim Brown, Walter J Brown, Walter James Brown, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1984. Walter had worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 1996 - August 30, 1996
WELLS FARGO SECURITIES INC.
January 13, 1994 - February 2, 2016
BRANDES INVESTMENT PARTNERS, LP
January 1, 1991 - June 3, 1994
UBS FINANCIAL SERVICES INC.
January 4, 1988 - January 1, 1991
ROTAN MOSLE INC.
October 26, 1984 - January 1, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
WELLS FARGO SECURITIES INC.
CRD#: 17438 / SEC#: , 8-35225
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAGEN MACKENZIE GROUP, INC. | DIRECT OWNER | |
| BENSUSSEN, VICTOR LAWRENCE | DIRECTOR/FINANCIAL OPERATIONS OFFICER & TREASURER | 1523151 |
| BRONSTEIN, GREGORY PHILLIP | SENIOR VICE PRESIDENT & DIRECTOR | 2276699 |
| DAGGS, CHARLES WILLARD III | DIRECTOR | 59782 |
| FREEMAN, SHELLEY STEUER | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1262649 |
| KAUFMAN, LEAH MARIE | SROP | 2221956 |
| MOORADIAN, DENNIS JACK | CHAIRMAN, PRESIDENT, CHIEF OPERATIONS OFFICER, DIRECTOR, & MUNICIPAL SECURITIES PRINCIPAL | 338698 |
| ROSS, PATRICIA ANN | SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER, CROP | 717926 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 11 |
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.
