John D. 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.
John David Brown, who also goes by J D Brown, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1992. John had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2013 - April 6, 2018
FIDELITY BROKERAGE SERVICES LLC
October 18, 2005 - April 18, 2007
FARMERS FINANCIAL SOLUTIONS, LLC
January 12, 2004 - March 29, 2005
STRATEGIC ADVISERS LLC
March 13, 2001 - March 29, 2005
FIDELITY BROKERAGE SERVICES LLC
December 5, 1997 - March 15, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
January 1, 1995 - May 28, 1996
COMERICA SECURITIES
October 8, 1994 - December 31, 1995
FIMCO SECURITIES GROUP, INC.
April 27, 1994 - January 1, 1995
COMERICA FINANCIAL SERVICES, INC.
November 25, 1992 - January 1, 1993
MOMENTUM INDEPENDENT NETWORK 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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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