Jeffrey 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.
Jeffrey David Brown, who also goes by Jeffery David Brown, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1985. Jeffrey had worked at 7 firms and has passed the Series 63, Series 7, Series 4 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
August 27, 1997 - November 4, 1997
NTB FINANCIAL CORPORATION
November 7, 1989 - August 28, 1995
AMERICAN FRONTEER FINANCIAL CORPORATION
April 10, 1989 - November 24, 1989
WALL STREET WEST, INC.
February 23, 1989 - April 20, 1989
AMERICAN FRONTEER FINANCIAL CORPORATION
March 3, 1987 - February 28, 1989
POWER SECURITIES CORPORATION
October 23, 1986 - December 26, 1986
GREAT LAKES EQUITIES CO.
July 30, 1986 - November 11, 1986
FIRST AFFILIATED SECURITIES, INC.
May 23, 1985 - August 6, 1986
H.J. MEYERS & CO., 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
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
