Christopher F. 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.
Christopher Francis Brown, who also goes by Chris Francis Brown, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1986. Christopher had worked at 7 firms and has passed the Series 63, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2004 - February 11, 2008
GEM ADVISORS, INC.
May 31, 1996 - April 12, 2001
GEM ADVISORS, INC.
December 22, 1995 - June 24, 1996
NORTHEAST SECURITIES, LLC
January 29, 1993 - December 22, 1993
DRAKE & COMPANY, INC.
April 11, 1988 - February 10, 1993
LEHMAN BROTHERS INC.
March 14, 1988 - April 11, 1988
E. F. HUTTON & COMPANY INC
February 3, 1986 - March 19, 1988
CITIGROUP GLOBAL MARKETS INC.
January 23, 1986 - February 13, 1990
ASCHER/DECISION SERVICES, 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 5
Date: 11/15/1985
Interest Rate Options ExaminationCurrent Firm
GEM ADVISORS, INC.
CRD#: 20624 / SEC#: , 8-38146
Contact information
Documents
Disclosures
| Regulatory Event | 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.
