Vincent W. 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.
Vincent Whittfield Brown SR, who also goes by VIncent Whittfield Brown, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1986. Vincent had worked at 7 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 1993 - January 4, 1994
ESSEX NATIONAL SECURITIES, LLC
September 23, 1993 - December 11, 1993
LASALLE FINANCIAL SERVICES, INC.
October 5, 1992 - September 13, 1993
IFMG SECURITIES, INC.
October 16, 1990 - April 3, 1992
NORTHEAST BROKERAGE SERVICES CORPORATION
August 9, 1988 - October 24, 1990
WAMU INVESTMENTS, INC.
April 2, 1987 - July 16, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
January 29, 1986 - November 3, 1986
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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