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RB

Robert H. Brown

Some features on this profile are disabled
CRD#: 1575148
RB

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.

Robert Harold Brown, who also goes by Bob Brown, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Brown

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

August 25, 2017 - June 1, 2018

VISIONS ANALYSIS LLC

BD
CRD#: 286678
ENDICOTT, NY
Past

September 10, 2014 - May 10, 2018

LPL FINANCIAL LLC

RIA
CRD#: 6413
ENDICOTT, NY
Past

September 9, 2014 - May 10, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
ENDICOTT, NY
Past

October 27, 2011 - September 5, 2014

M&T SECURITIES, INC.

RIA
CRD#: 17358
PAINTED POST, NY
Past

October 27, 2011 - September 5, 2014

M&T SECURITIES, INC.

BD
CRD#: 17358
PAINTED POST, NY
Past

May 7, 2007 - October 31, 2011

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
BINGHAMTON, NY
Past

January 1, 2005 - October 31, 2011

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
BINGHAMTON, NY
Past

January 14, 2000 - January 1, 2005

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

January 4, 1999 - January 14, 2000

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

July 1, 1998 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

August 26, 1993 - June 30, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

BD
CRD#: 19924
Past

February 6, 1988 - August 20, 1993

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

July 17, 1987 - December 14, 1987

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
Past

December 10, 1986 - August 15, 1987

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
Past

December 10, 1986 - October 13, 1987

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627

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
IAR
Series 66
Date: 4/30/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/26/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/8/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/13/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/13/2002
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/9/1998
General Securities Principal Examination

Current Firm

VA
VISIONS ANALYSIS LLC
VISIONS ANALYSIS LLC

CRD#: 286678 / SEC#: , 8-69898

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

Main Address
24 Mckinley Avenue, Endicott, NY 13760
Mailing Address
24 Mckinley Avenue, Endicott, NY 13760
Phone number
(845) 489-3883
Established
New York since 12/22/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
VISIONS FEDERAL CREDIT UNIONOWNER
BENDER, STEVEN CHRISTOPHERPFO, POO2650187
BENDER, STEVEN CHRISTOPHERFINOP2650187
THATCHER, JEFFREY GLENNCEO, CCO, MANAGING DIRECTOR1951368

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

VISIONS ANALYSIS LLC

CRD#: 286678

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