Michael G. 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.
Michael G Brown, who also goes by Michael Garth Brown, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2023 - October 7, 2024
SUMMIT GLOBAL INVESTMENTS, LLC
April 8, 2021 - August 29, 2023
CHARLES SCHWAB & CO., INC.
April 8, 2021 - August 29, 2023
CHARLES SCHWAB & CO., INC.
March 28, 2018 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 28, 2018 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 14, 2010 - September 22, 2017
HARRISDIRECT LLC
June 17, 2010 - September 22, 2017
E*TRADE SECURITIES LLC
July 19, 2000 - July 13, 2010
STRATEGIC ADVISERS LLC
March 14, 1989 - July 9, 2010
FIDELITY BROKERAGE SERVICES LLC
February 10, 1988 - February 25, 1988
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
SUMMIT GLOBAL INVESTMENTS, LLC
CRD#: 157091 / SEC#: 801-76631
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
Series 8
Date: 6/22/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUMMIT GLOBAL INVESTMENTS, LLC
CRD#: 157091 / SEC#: 801-76631
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,923 |
| AUM (Assets Under Management) | $ 1,921,141,101 |
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.
