Theodore A. 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.
Theodore Allen Brown, CFP®, CIMA®, who also goes by Theodore Allen Brown II, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1991. Theodore had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24 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
November 29, 2018 - June 9, 2021
M&T SECURITIES, INC.
November 20, 2018 - June 9, 2021
M&T SECURITIES, INC.
August 5, 2013 - November 5, 2018
WELLS FARGO CLEARING SERVICES, LLC
August 2, 2013 - November 5, 2018
WELLS FARGO CLEARING SERVICES, LLC
April 21, 2010 - June 21, 2013
NORTHERN TRUST SECURITIES, INC.
October 23, 2009 - March 25, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - March 25, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 14, 2001 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 26, 2001 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 26, 1996 - November 20, 1997
SECURITIES SERVICE NETWORK, LLC
November 5, 1992 - October 4, 1994
DETWILER FENTON WEALTH MANAGEMENT INC
January 3, 1991 - October 8, 1992
MORGAN STANLEY DW 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
Series 7TO
Date: 1/5/2024
General Securities Representative ExaminationCurrent Firm
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 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.
