Isaac Brown
Professional summary
Isaac Brown JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Isaac is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Isaac had worked at 4 firms, which includes LEGEND EQUITIES CORPORATION, TRANSAMERICA FINANCIAL ADVISORS INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2004 - March 16, 2007
LEGEND EQUITIES CORPORATION
December 4, 2000 - December 31, 2003
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 17, 1999 - November 29, 2000
METROPOLITAN LIFE INSURANCE COMPANY
June 17, 1999 - November 29, 2000
MSI FINANCIAL SERVICES, INC.
November 5, 1997 - April 12, 1999
LEGEND EQUITIES CORPORATION
April 21, 1997 - May 21, 1997
LEGEND EQUITIES CORPORATION
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
LEGEND EQUITIES CORPORATION
CRD#: 30999 / SEC#: , 8-45286
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEGEND GROUP HOLDINGS, LLC | DIRECT OWNER | |
| ANTONIADES, ADAM NICHOLAS | DIRECTOR | 2261744 |
| BONNEAU, CATHERINE MCCORMACK | DIRECTOR | 2899706 |
| GINGRICH, MIRALDA | VICE PRESIDENT | 1985431 |
| GRIFFEY, ENA MARIA | FINOP | 4460199 |
| HALEY, BRIAN JOSEPH | CHIEF COMPLIANCE OFFICER | 4361815 |
| MEHROTRA, SHASHI | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2640875 |
| RUDNICK, REGINA MARY | VICE PRESIDENT | 2373530 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
Red Flags
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