Scott C. 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.
Scott Christopher Brown, who also goes by Scott Brown, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1988. Scott had worked at 10 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2023 - August 10, 2023
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
June 5, 2015 - February 3, 2023
PACIFIC SELECT DISTRIBUTORS, LLC
May 13, 2015 - May 15, 2015
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
December 8, 2009 - July 16, 2010
SIGNATOR INVESTORS, INC.
October 6, 2006 - October 30, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 7, 2004 - July 24, 2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC
February 15, 2001 - February 11, 2003
SAGE DISTRIBUTORS, INC.
January 25, 1996 - February 6, 2001
GUARDIAN INVESTOR SERVICES LLC
December 12, 1991 - August 28, 1995
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
November 18, 1988 - November 6, 1990
FORESTERS FINANCIAL SERVICES, 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
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | CHIEF OPERATING OFFICER | 5841463 |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 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.
