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OB

Orlando P. Brown

CEROS FINANCIAL SERVICES
New York, NY 10004
Some features on this profile are disabled
CRD#: 2974648
OB

Professional summary

Orlando P. Brown, who also goes by Orlando P Brown, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in New York, New York.

Orlando is registered as a RR (Registered Representative) and started their career in finance in 1997. Orlando has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Orlando P Brown

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Orlando P. Brown's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 20, 2022 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: 80 Broad Street 29th Floor, New York, NY 10004
BD
CRD#: 37869
New York, NY
Past

December 18, 2014 - July 21, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

January 3, 2005 - December 19, 2014

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
NEW YORK, NY
Past

July 16, 2004 - December 31, 2004

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
WALTHAM, MA
Past

November 20, 2002 - July 22, 2004

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

August 5, 2002 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

April 24, 2001 - August 7, 2002

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
ATLANTA, GA
Past

December 1, 2000 - May 23, 2001

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

November 20, 2000 - December 20, 2000

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

October 23, 2000 - November 20, 2000

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
BOCA RATON, FL
Past

December 22, 1999 - October 24, 2000

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
PORTLAND, OR
Past

September 27, 1999 - January 4, 2000

PRIME CHARTER LTD.

BD
CRD#: 25668
NEW YORK, NY
Past

December 4, 1997 - September 21, 1998

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(4/17/2023)
RR
California
(7/20/2022)
RR
Connecticut
(3/15/2023)
RR
District of Columbia
(7/20/2022)
RR
Florida
(7/20/2022)
RR
Georgia
(7/20/2022)
RR
Hawaii
(7/20/2022)
RR
Illinois
(7/20/2022)
RR
Indiana
(7/20/2022)
RR
Iowa
(7/20/2022)
RR
Kentucky
(9/13/2024)
RR
Maryland
(7/20/2022)
RR
Massachusetts
(7/20/2022)
RR
Michigan
(7/20/2022)
RR
Nevada
(7/20/2022)
RR
New Hampshire
(7/20/2022)
RR
New Jersey
(7/20/2022)
RR
New York
(7/20/2022)
RR
North Carolina
(7/25/2022)
RR
Ohio
(7/25/2022)
RR
Pennsylvania
(7/20/2022)
RR
South Carolina
(7/20/2022)
RR
Tennessee
(7/17/2024)
RR
Texas
(7/20/2022)
RR
Utah
(4/9/2024)
RR
Vermont
(7/20/2022)
RR
Virginia
(7/20/2022)
RR
Washington
(11/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/3/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CF
CEROS FINANCIAL SERVICES, INC.
ASSET MANAGEMENT SERVICES | FORTE CAPITAL GROUP | CEROS FINANCIAL SERVICES, INC. | CEROS FINANCIAL ADVISORS | CEROS CAPITAL MARKETS | CEROS BROKER SERVICE, INC. | ATLANTIC PARTNERS

CRD#: 37869 / SEC#: , 8-47955

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Mailing Address
1445 Research Boulevard Suite 530, Rockville, MD 20850
Phone number
(866) 842-3356
Established
Massachusetts since 09/30/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DGB HOLDINGS, LLCOWNER
AYERS-RIGSBY, MARY CATHERINEPRESIDENT830349
GOLDWASSER, MARK HARRYCEO1334008
GREENE, JON CHRISTOPHERROSFP3202524
HOLLAND, ANGELA LYNNETTECHIEF COMPLIANCE OFFICER3166586
POWELL, KIM ULMANCHIEF FINANCIAL OFFICER6244231
WILSON, DANIELAMLCO6763074

Disclosures

Regulatory Event4

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.

Company Information

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869New York, NY 10004

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