Jesse B. Brown

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CRD#: 1835044

Professional summary

Jesse Booker Brown was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jesse is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Jesse had worked at 13 firms, which includes INSIGHT SECURITIES INC., WALLSTREET*E FINANCIAL SERVICES INC., VALIC FINANCIAL ADVISORS INC., INVESTACORP INC., AMERIPRISE FINANCIAL SERVICES LLC, BROKERSXPRESS LLC, SBK-BROOKS INVESTMENT CORP., SUNAMERICA SECURITIES INC., FINANCE 500 INC., NPC SECURITIES INC., THE INVESTMENT CENTER INC., KIDDER PEABODY & CO. INCORPORATED, THE STUART-JAMES COMPANY INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

Jess Brown | Jesse B 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

March 11, 2010 - July 28, 2010

INSIGHT SECURITIES, INC.

RIA

CRD#: 5611

RIVERWOODS, IL

Past

March 10, 2010 - July 28, 2010

INSIGHT SECURITIES, INC.

CRD#: 5611

RIVERWOODS, IL

Past

July 11, 2008 - December 18, 2008

WALLSTREET*E FINANCIAL SERVICES, INC.

CRD#: 43896

CORAL GABLES, FL

Past

November 9, 2007 - July 18, 2008

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

CHICAGO, IL

Past

November 7, 2007 - July 18, 2008

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

CHICAGO, IL

Past

October 19, 2006 - November 13, 2007

INVESTACORP, INC.

CRD#: 7684

CHICAGO, IL

Past

April 25, 2006 - September 20, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CHICAGO, IL

Past

April 25, 2006 - September 20, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CHICAGO, IL

Past

September 9, 2004 - April 26, 2006

BROKERSXPRESS LLC

CRD#: 127081

CHICAGO, IL

Past

October 21, 2003 - September 21, 2004

SBK-BROOKS INVESTMENT CORP.

CRD#: 35851

CLEVELAND, OH

Past

March 26, 2003 - August 25, 2003

WALLSTREET*E FINANCIAL SERVICES, INC.

CRD#: 43896

CORAL GABLES, FL

Past

November 2, 1999 - February 18, 2003

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

April 2, 1999 - December 8, 1999

WALLSTREET*E FINANCIAL SERVICES, INC.

CRD#: 43896

CORAL GABLES, FL

Past

March 23, 1998 - July 15, 1998

FINANCE 500, INC.

CRD#: 12981

IRVINE, CA

Past

April 29, 1992 - March 17, 1999

NPC SECURITIES, INC.

CRD#: 10121

GREENWOOD VILLAGE, CO

Past

May 23, 1990 - April 21, 1992

THE INVESTMENT CENTER, INC.

CRD#: 17839

Past

August 19, 1988 - June 4, 1990

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

June 21, 1988 - August 8, 1988

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INSIGHT SECURITIES, INC.

CRD#: 5611 / SEC#: 801-12999, 8-16247

RIA

Registered Investment Advisory firm - SEC (5/25/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/1993

General Securities Principal Examination

Current Firm

INSIGHT SECURITIES, INC.

CRD#: 5611 / SEC#: 801-12999, 8-16247

RIA

Registered Investment Advisory firm - SEC (5/25/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

600 Central Ave Suite 293, Highland Park, IL 60035

Mailing Address

600 Central Ave Suite 293, Highland Park, IL 60035

Phone number

(224) 632-4700

Established

Delaware since 11/12/1970

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
INTELLIGENICS, INC.	HOLDING COMPANY/STOCKHOLDER
GAAFAR, OMAR JAMES	COO	4916775
KIM, JAMES J	CCO	6040592
LEGASPY, CARLOS JAVIER	PRINCIPAL, PRESIDENT, CEO	2148751
MAKULA, MICHAEL JOSEPH MR.	CFO, FINOP	4643441

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 94,216,934

Disclosures

Regulatory Event	6
Arbitration	1
Bond	5

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.

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Firm Stability Insights

Jesse B. Brown

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INSIGHT SECURITIES, INC.

WALLSTREET*E FINANCIAL SERVICES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

INVESTACORP, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

BROKERSXPRESS LLC

SBK-BROOKS INVESTMENT CORP.

WALLSTREET*E FINANCIAL SERVICES, INC.

SUNAMERICA SECURITIES, INC.

WALLSTREET*E FINANCIAL SERVICES, INC.

FINANCE 500, INC.

NPC SECURITIES, INC.

THE INVESTMENT CENTER, INC.

KIDDER, PEABODY & CO. INCORPORATED

THE STUART-JAMES COMPANY, INCORPORATED

Primary Firm SEC Registration

INSIGHT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/27/1999

Series 63

Date: 7/25/1988

Series 7

Date: 6/18/1988

Series 24

Date: 3/26/1993

Current Firm

INSIGHT SECURITIES, INC.

Contact information

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INSIGHT SECURITIES, INC.

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