Robert J. 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.
Robert Joseph Brown JR, who also goes by Rob Brown Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 1 firm and has passed the 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
August 29, 1996 - March 30, 2001
ALEXANDER, WESCOTT, & CO., INC.
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
ALEXANDER, WESCOTT, & CO., INC.
CRD#: 35935 / SEC#: , 8-46935
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE FINANCIAL COMMERCE NETWORK INC. | SHAREHOLDER/PARENT | |
| BACH, RICHARD HANS | CHAIRMAN AND CEO | 1011097 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
