Scott I. 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.
Scott Ian Brown was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1993. Scott had worked at 8 firms and has passed the Series 63, Series 55, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2001 - March 12, 2002
RUMSON CAPITAL, LLC
November 3, 2000 - February 1, 2001
SSI SECURITIES CORP.
January 6, 2000 - November 9, 2000
R.K. GRACE & COMPANY
April 3, 1995 - April 15, 1997
OPPENHEIMER & CO. INC.
October 27, 1994 - March 9, 1995
SAPERSTON FINANCIAL INC.
May 19, 1994 - August 26, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 4, 1994 - June 1, 1994
GRUNTAL & CO., L.L.C.
April 13, 1993 - April 13, 1994
GKN SECURITIES CORP.
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 55
Date: 11/1/2001
Limited Representative-Equity Trader ExamSeries 62
Date: 1/20/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
RUMSON CAPITAL, LLC
CRD#: 33848 / SEC#: , 8-46133
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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