James 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.
James Michael Brown JR, who also goes by Jim Brown Jr, Jim Brown, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 9 firms and has passed the Series 63, SIE, Series 7 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 18, 2014 - July 1, 2016
MAXWELL SIMON, INC.
March 10, 2008 - December 31, 2012
FOCUS CAPITAL GROUP, INC.
January 20, 1998 - May 1, 2006
USALLIANZ SECURITIES, INC.
October 1, 1995 - September 13, 1996
VOYA FINANCIAL ADVISORS, INC.
June 3, 1991 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
May 18, 1989 - December 5, 1989
BOARDWALK CAPITAL CORPORATION
March 17, 1989 - May 8, 1989
OSAIC FS, INC.
February 13, 1986 - December 31, 1988
MUTUAL SERVICE CORPORATION
December 23, 1985 - February 19, 1986
LOCUST STREET SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MAXWELL SIMON, INC.
CRD#: 12667 / SEC#: , 8-22712
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MSRJG HOLDINGS, LLC | PARENT COMPANY | |
| GOODMANSON, ROBERT JOSEPH | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 726865 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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