Stephen T. Brownlow
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.
Stephen Thomas Brownlow, who also goes by Steve Brownlow, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2018 - April 23, 2020
MUTUAL SECURITIES, INC.
October 3, 2016 - August 10, 2018
CETERA ADVISORS LLC
January 4, 2016 - October 3, 2016
INVESTORS CAPITAL CORP.
October 1, 2014 - April 22, 2020
INTELLICENTS INVESTMENT SOLUTIONS INC
September 30, 2013 - December 31, 2015
LPL FINANCIAL LLC
April 2, 1998 - October 4, 2013
KESTRA INVESTMENT SERVICES, LLC
October 23, 1991 - April 8, 1998
WOODBURY FINANCIAL SERVICES, INC.
September 1, 1989 - October 17, 1991
MONARCH SECURITIES, 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
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
