David N. 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 N Brown, who also goes by David Brown, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2014 - July 24, 2015
SG AMERICAS SECURITIES, LLC
May 7, 2008 - June 2, 2014
BNP PARIBAS SECURITIES CORP.
May 19, 2005 - May 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 2005 - May 6, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 2002 - April 19, 2005
SANDLER, O'NEILL & PARTNERS, L.P.
December 1, 2000 - March 13, 2002
UBS SECURITIES LLC
April 1, 1996 - December 1, 2000
UBS FINANCIAL SERVICES INC.
March 11, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
March 11, 1993 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
November 19, 1991 - March 5, 1996
LEHMAN BROTHERS 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
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 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.
