Olcott M. 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.
Olcott Mitchell Brown, who also goes by Mitch Brown, O M Brown, O Mitchell Brown, O. M Brown, Obott Mitchell Brown, Olcott M Brown, Olcott Brown, was a registered financial professional .
Olcott is a previously registered financial professional and started their career in finance in 1985. Olcott had worked at 7 firms and has passed the Series 66, Series 63 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
October 31, 2013 - September 22, 2014
TRANSAMERICA CAPITAL, LLC
October 4, 2012 - July 19, 2013
OSAIC FS, INC.
October 4, 2012 - July 19, 2013
OSAIC FS, INC.
September 14, 2011 - August 3, 2012
MORGAN STANLEY
September 14, 2011 - August 3, 2012
MORGAN STANLEY
June 24, 2010 - August 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2010 - August 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 16, 2010 - June 7, 2010
LPL FINANCIAL LLC
February 24, 2010 - June 7, 2010
LPL FINANCIAL LLC
March 21, 1998 - August 17, 2005
CITIGROUP GLOBAL MARKETS INC.
May 27, 1987 - December 18, 1997
CITIGROUP GLOBAL MARKETS INC.
October 22, 1985 - May 15, 1987
J.P. MORGAN SECURITIES LLC
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
TRANSAMERICA CAPITAL, LLC
CRD#: 8217 / SEC#: , 8-24829
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AUSA HOLDING, LLC | PARENT | |
| ACKERMAN, TIMOTHY LEON | DIRECTOR | 2311523 |
| BEITZEL, BRIAN | DIRECTOR, CHIEF FINANCIAL OFFICER, TREASURER | 6183770 |
| CARNEY, ROBERT DONALD | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 6747924 |
| HALLORAN, MARK FRANCIS | DIRECTOR | 1128889 |
| HELLERMAN, DOUGLAS | CHIEF COMPLIANCE OFFICER | 4696681 |
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.
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