Michael A. 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.
Michael Anthony Brown SR., who also goes by Michael Anthony Brown, Mike Anthony Brown, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2015 - December 31, 2017
THE MARSHALL FINANCIAL GROUP LLC
December 4, 2015 - November 16, 2017
SECURITIES SERVICE NETWORK, LLC
June 13, 2006 - November 25, 2015
CETERA WEALTH SERVICES, LLC
June 2, 2006 - November 25, 2015
CETERA WEALTH SERVICES, LLC
November 21, 2003 - June 30, 2006
INVEST FINANCIAL CORPORATION
November 3, 2003 - November 4, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
November 3, 2003 - June 30, 2006
INVEST FINANCIAL CORPORATION
March 31, 2003 - November 4, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 5, 2001 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
June 1, 2000 - March 31, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
August 4, 1998 - May 31, 2000
HORNOR, TOWNSEND & KENT, LLC
March 29, 1994 - August 7, 1998
ADVANTAGE CAPITAL CORPORATION
Primary Firm SEC Registration
THE MARSHALL FINANCIAL GROUP LLC
CRD#: 146362 / SEC#: 801-117820
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
THE MARSHALL FINANCIAL GROUP LLC
CRD#: 146362 / SEC#: 801-117820
Contact information
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,449 |
| AUM (Assets Under Management) | $ 593,043,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 07/24/2023 |
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.
