Eric J. Brown
Professional summary
Eric James Brown was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Eric is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Eric had worked at 7 firms, which includes PRIME CAPITAL SERVICES INC., OSAIC WEALTH INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., IFMG SECURITIES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 1999 - March 16, 2006
PRIME CAPITAL SERVICES, INC.
February 27, 1998 - June 7, 1999
OSAIC WEALTH, INC.
July 31, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 31, 1995 - July 31, 1998
SIGNATOR INVESTORS, INC.
July 14, 1994 - January 30, 1995
IFMG SECURITIES, INC.
February 20, 1992 - June 9, 1994
IDS LIFE INSURANCE COMPANY
February 20, 1992 - June 9, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
PRIME CAPITAL SERVICES, INC.
CRD#: 18334 / SEC#: , 8-36492
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
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