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GB

Gary E. Brown

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CRD#: 1507519
GB

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.

Gary Edward Brown was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1988. Gary had worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 19, 1988 - January 10, 2024

STERLING, GRACE MUNICIPAL SECURITIES CORPORATION

BD
CRD#: 7155
SPOTSWOOD, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/28/1993
General Securities Principal Examination

Current Firm

SG
STERLING, GRACE MUNICIPAL SECURITIES CORPORATION
STERLING, GRACE MUNICIPAL SECURITIES CORPORATION

CRD#: 7155 / SEC#: , 8-20003

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
100 Summerhill Road, Spotswood, NJ 08884-1278
Mailing Address
100 Summerhill Road, Spotswood, NJ 08884
Phone number
(732) 251-2460
Established
Delaware since 11/15/1961
Firm type
Corporation
Fiscal year end
November
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GRACE, GWENDOLYNSTOCKHOLDER1502160
GRACE, LORI LSTOCKHOLDER1502158
JERVIS, RUTH GSTOCKHOLDER1502162
KELLY, RATUS LEESTOCKHOLDER1502164
COURTSTOWN PARTNERSLPSTOCKHOLDER
DEJOUX, MORGAN ANDRE GRACESTOCKHOLDER/TRUSTEE
GRACE, OLIVER RUSSELL JRSTOCKHOLDER1502156
GRO FAMILY TRUST AGREEMENT DTD 12/23/95STOCKHOLDER
GSJ FAMILYTRUST AGREEMENT DTD 12/24/92STOCKHOLDER
YOUMANS, EDWARD CHARLESSTOCKHOLDER/TRUSTEE
DOYLE, MARK ALBERTPRESIDENT/CEO/CCO841024
KELLY, ANNSTOCKHOLDER
MUNDY, THOMAS JAMESVICE PRESIDENT/CFO/FINOP2193202
SAKOL, DANIEL SCOTTSOLE DIRECTOR2813237

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.

Company Information

STERLING, GRACE MUNICIPAL SECURITIES CORPORATION

CRD#: 7155

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