Cedric M. 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.
Cedric Maurice Brown was a registered financial professional .
Cedric is a previously registered financial professional and started their career in finance in 1997. Cedric had worked at 5 firms and has passed the Series 63, SIE 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
March 24, 2017 - October 3, 2017
DAVID LERNER ASSOCIATES, INC.
September 23, 2015 - October 9, 2015
PRUCO SECURITIES, LLC.
June 1, 2009 - July 29, 2014
MORGAN STANLEY
October 12, 1998 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 17, 1997 - September 11, 1998
R.D. WHITE & CO., 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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
