Stephanie 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.
Stephanie Mary Brown, who also goes by Stephanie M Brown, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1994. Stephanie had worked at 6 firms and has passed the Series 63 and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 27, 2016 - June 7, 2019
TP ICAP GLOBAL MARKETS AMERICAS LLC
February 1, 2002 - June 7, 2019
ICAP SECURITIES USA LLC
March 15, 2000 - January 25, 2002
ICAP SECURITIES USA LLC
September 28, 1998 - April 27, 2000
INTERCAPITAL GOVERNMENT SECURITIES INC.
September 22, 1998 - October 26, 2000
INTERCAPITAL INTERNATIONAL INC.
October 13, 1995 - November 27, 1996
LIBERTY BROKERS
December 7, 1994 - September 15, 1998
TULLETT PREBON FINANCIAL SERVICES LLC
State Registrations and Notice Filings
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Exams
Current Firm
TP ICAP GLOBAL MARKETS AMERICAS LLC
CRD#: 2762 / SEC#: , 8-12726
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 31 |
Red Flags
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