Thomas G. 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.
Thomas George Brown, who also goes by Tom Brown, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1992. Thomas had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2013 - March 15, 2024
COREBRIDGE CAPITAL SERVICES, INC.
May 31, 2013 - June 28, 2013
AMERICAN GENERAL EQUITY SERVICES CORPORATION
April 1, 2006 - March 18, 2013
METLIFE INVESTORS DISTRIBUTION COMPANY
February 24, 2004 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
February 27, 2003 - November 25, 2003
PRINCIPAL SECURITIES, INC.
February 23, 1999 - February 25, 2003
WS GRIFFITH SECURITIES, INC.
July 10, 1997 - December 31, 1998
VOYA FINANCIAL ADVISORS, INC.
October 29, 1996 - July 8, 1997
HILLTOP SECURITIES INC.
December 18, 1995 - December 31, 1996
WOODBURY FINANCIAL SERVICES, INC.
January 8, 1992 - November 28, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 8, 1992 - November 28, 1995
EQUITABLE ADVISORS, 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
Current Firm
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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