Tony R. 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.
Tony Ricardo Brown, who also goes by Tony R Brown, was a registered financial professional .
Tony is a previously registered financial professional and started their career in finance in 1998. Tony had worked at 3 firms and has passed the Series 63 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
September 12, 2001 - September 29, 2003
CHARTER ONE SECURITIES, INC.
October 21, 1998 - September 20, 2001
METROPOLITAN LIFE INSURANCE COMPANY
October 21, 1998 - September 20, 2001
MSI FINANCIAL SERVICES, 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
CHARTER ONE SECURITIES, INC.
CRD#: 13373 / SEC#: , 8-29142
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARTER ONE BANK, N.A. | SHAREHOLDER | |
| ANGUISH, JOSEPH EDWARD | CHIEF COMPLIANCE OFFICER | 1263738 |
| EISENHARDT, HOWARD | SECRETARY | |
| GUILFOYLE, KATHLEEN MARGARET | CHIEF FINANCIAL OFFICER | 4728634 |
| HOLLISTER, THOMAS JAMES | CHAIRMAN | |
| KOPP, BRADFORD BURNETT | DIRECTOR | 860833 |
| MILLARD, MICHAEL GERARD | CHIEF EXECUTIVE OFFICER / PRESIDENT | 722703 |
Disclosures
| Regulatory Event | 2 |
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.
