Van 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.
Van Ray Brown, who also goes by Van R Brown, was a registered financial professional .
Van is a previously registered financial professional and started their career in finance in 1997. Van had worked at 3 firms and has passed the Series 63, Series 6TO, SIE 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
May 21, 2018 - September 8, 2020
AVALON INVESTMENT & SECURITIES GROUP, INC.
February 26, 2009 - January 17, 2018
INVEST FINANCIAL CORPORATION
February 20, 2009 - January 17, 2018
INVEST FINANCIAL CORPORATION
January 29, 1997 - February 25, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 20, 1997 - February 25, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
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
Series 6TO
Date: 3/12/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
AVALON INVESTMENT & SECURITIES GROUP, INC.
CRD#: 6281 / SEC#: , 8-17078
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
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.
