Christopher L. 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.
Christopher Lawrence Brown, who also goes by Chris L. Brown, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2002. Christopher had worked at 8 firms and has passed the Series 63, 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
January 7, 2019 - December 23, 2019
LIFEMARK SECURITIES CORP.
March 30, 2017 - November 8, 2018
FORESTERS EQUITY SERVICES, INC.
July 17, 2014 - May 26, 2016
AVANTAX INVESTMENT SERVICES, INC.
December 3, 2013 - May 9, 2014
AVANTAX INVESTMENT SERVICES, INC.
February 15, 2012 - September 27, 2013
VERITRUST FINANCIAL, LLC
January 10, 2011 - February 2, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 18, 2006 - December 31, 2008
WORLD INVESTMENTS, LLC
October 7, 2005 - January 27, 2006
AVANTAX INVESTMENT SERVICES, INC.
April 7, 2004 - October 21, 2005
METROPOLITAN LIFE INSURANCE COMPANY
April 7, 2004 - October 21, 2005
MSI FINANCIAL SERVICES, INC.
April 24, 2002 - April 27, 2004
FORESTERS EQUITY SERVICES, INC.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
