David M. 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.
David Mccain Brown, who also goes by Mac Brown, David Mccain Macbrown, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 8 firms 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
September 4, 2013 - September 3, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 3, 2010 - March 25, 2013
THE BAKER GROUP, LP
February 8, 2005 - November 21, 2006
NBC SECURITIES, INC.
April 29, 2002 - March 2, 2005
PACES BATTLE GROUP, INC.
May 11, 1998 - December 16, 1999
STERNE, AGEE & LEACH, INC.
July 19, 1996 - May 18, 1998
MORGAN KEEGAN & COMPANY, LLC
May 16, 1995 - July 22, 1996
SOUTHTRUST SECURITIES, LLC
June 8, 1994 - March 27, 1997
AMSOUTH INVESTMENT SERVICES, INC.
June 21, 1990 - December 10, 1991
AMSOUTH INVESTMENT 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 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.
