Douglas D. Brown
Professional summary
Douglas Dean Brown, who also goes by Douglas Dean Brown Mr., Douglas Dean Brown, is a registered financial professional currently at MONEY CONCEPTS CAPITAL CORP located in Scottsdale, Arizona.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1996. Douglas has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Dean Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 29, 2004 - Present
MONEY CONCEPTS CAPITAL CORP
October 5, 2004 - December 31, 2004
MONEY CONCEPTS CAPITAL CORP
June 28, 2002 - November 21, 2003
WADDELL & REED
June 28, 2002 - November 21, 2003
WADDELL & REED
March 30, 2001 - October 3, 2001
EQUITABLE ADVISORS, LLC
October 1, 1996 - January 22, 1999
BISYS SHELF B/D (1), INC.
Primary Firm SEC Registration
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/5/2004)
(5/12/2014)
(11/9/2021)
(9/29/2004)
(3/24/2020)
(10/5/2022)
Exams
FINRA
Current Firm
MONEY CONCEPTS CAPITAL CORP
CRD#: 12963 / SEC#: 801-39736, 8-29671
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MONEY CONCEPTS INTERNATIONAL, INC | OWNS 100% OF MONEY CONCEPTS CAPITAL CORP. | |
| BARNETT, CHERYL MORRIS | VICE PRESIDENT | COMPLIANCE OFFICER | 1795785 |
| MATOS, LIZA MARIA | VICE PRESIDENT | COMPLIANCE OFFICER | 4371969 |
| RITTMAN, BARRY RICHARD | VICE PRESIDENT | CHIEF FINANCIAL OFFICER | 1997994 |
| WALSH, DENIS STEPHEN | PRESIDENT | CHIEF EXECUTIVE OFFICER | 1124278 |
| WALSH, JAMES EDWARD | VICE PRESIDENT | ADVERTISING AND COMMUNICATIONS | 2275368 |
| WALSH, MARY THERESE | SR VICE PRESIDENT | CHIEF COMPLIANCE OFFICER | 2829444 |
Regulatory assets under management
| Total Number of Accounts | 14,898 |
| AUM (Assets Under Management) | $ 3,328,625,395 |
Disclosures
| Regulatory Event | 8 |
| 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.
