Michael T. Brown
Professional summary
Michael Todd Brown, who also goes by Mike Brown, is a registered financial professional currently at TJM INVESTMENTS, LLC located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Todd Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 2018 - Present
TJM INVESTMENTS, LLC
Office #1: Cboe Trading Floor 141 West Jackson Boulevard, Chicago, IL 60604June 12, 2015 - January 2, 2019
PTR, INC.
February 23, 2011 - June 15, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 1991 - January 2, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 3, 1991 - January 2, 1992
PRUCO SECURITIES, LLC.
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 57TO
Date: 1/2/2023
Securities Trader ExamCboe Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
New York Stock Exchange
Current Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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