Eric A. 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.
Eric Anthony Brown, who also goes by Eric A Brown, Eric Brown, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1997. Eric had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2010 - August 23, 2018
APW CAPITAL, INC.
October 13, 2008 - January 15, 2010
UBS FINANCIAL SERVICES INC.
July 9, 2008 - September 25, 2008
MORGAN STANLEY & CO. LLC
June 20, 2008 - July 3, 2008
FLAGSTAR ADVISORS
February 8, 2007 - March 9, 2007
EQUITABLE ADVISORS, LLC
February 29, 2000 - January 4, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 1999 - February 17, 2000
JPMSI
May 19, 1997 - February 18, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
APW CAPITAL, INC.
CRD#: 43814 / SEC#: , 8-50433
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
