Dudley 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.
Dudley Brown JR was a registered financial professional .
Dudley is a previously registered financial professional and started their career in finance in 1985. Dudley had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 53 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
April 6, 2015 - January 3, 2017
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
November 13, 2008 - September 5, 2014
BLAYLOCK VAN, LLC
June 3, 2005 - July 21, 2008
JACKSON SECURITIES LLC
June 18, 1991 - June 15, 2010
BEREAN CAPITAL INCORPORATED
February 4, 1991 - May 21, 1991
ROBERT W. BAIRD & CO. INCORPORATED
March 20, 1985 - February 6, 1991
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
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
CRD#: 103460 / SEC#: , 8-52179
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LMJ HOLDINGS, INC. | SHAREHOLDER | |
| CUCCIA, GARY JOHN | CEO/CCO/CFO/FINOP | 1386493 |
Disclosures
| Regulatory Event | 7 |
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.
