Arthur T. 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.
Arthur Theodore Brown JR, who also goes by Arthur Theodore Brown, Arthur Brown, Arthur Theodore Brown Jr Jr, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1996. Arthur had worked at 6 firms and has passed the Series 65, 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
May 6, 2022 - July 18, 2022
J.W. COLE FINANCIAL, INC.
March 17, 2022 - July 18, 2022
J. W. COLE ADVISORS, INC.
June 13, 2019 - November 19, 2021
SOUTHPORT CAPITAL
October 12, 2016 - June 14, 2019
OPPENHEIMER & CO. INC.
October 11, 2016 - June 14, 2019
OPPENHEIMER & CO. INC.
April 8, 2009 - October 12, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 1, 2009 - October 12, 2016
WELLS FARGO CLEARING SERVICES, LLC
March 7, 2003 - April 20, 2009
CITIGROUP GLOBAL MARKETS INC.
February 5, 1996 - April 20, 2009
CITIGROUP GLOBAL MARKETS 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
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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