Edward W. 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.
Edward William Brown was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1991. Edward had worked at 8 firms and has passed the Series 63, SIE 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
July 25, 2017 - July 18, 2018
GAIN SECURITIES
May 1, 2002 - August 12, 2015
BROKERTEC AMERICAS LLC
July 19, 2000 - August 29, 2001
BONDS.COM LLC
February 18, 2000 - March 17, 2000
OPPENHEIMER & CO. INC.
May 28, 1999 - February 16, 2000
TULLETT PREBON FINANCIAL SERVICES LLC
December 4, 1995 - October 6, 1998
CIBC WORLD MARKETS CORP.
December 17, 1993 - September 6, 1995
SANWA UNIVERSAL SECURITIES CO., LLC
August 23, 1991 - September 6, 1995
SANWA SECURITIES (USA) CO., L.P.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GAIN SECURITIES
CRD#: 16203 / SEC#: , 8-33541
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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