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Marvin R. Brown

J.M LUMMIS SECURITIES
New Canaan, CT 06840
Some features on this profile are disabled
CRD#: 3021066
MB

Professional summary

Marvin Riddle Brown, who also goes by Mark Brown, is a registered financial professional currently at J.M LUMMIS SECURITIES, INC. located in New Canaan, Connecticut.

Marvin is registered as a RR (Registered Representative) and started their career in finance in 1998. Marvin has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark 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 Marvin Riddle Brown's 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 15, 1998 - Present

J.M LUMMIS SECURITIES, INC.

Office #1: 50 Locust Avenue, New Canaan, CT 06840Office #2: 50 Locust Ave, New Canaan, CT 06840
BD
CRD#: 43818
New Canaan, CT

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
Connecticut
(2/28/2002)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/1999
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: 3/12/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JL
J.M LUMMIS SECURITIES, INC.
J.M LUMMIS SECURITIES, INC.

CRD#: 43818 / SEC#: , 8-50435

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

Main Address
50 Locust Ave, New Canaan, CT 06840
Mailing Address
50 Locust Ave, New Canaan, CT 06840
Phone number
(203) 966-0005
Established
Connecticut since 06/19/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
J. M. LUMMIS & COMPANY, INC.SHAREHOLDER
LUMMIS, DAVID CARLETONPRESIDENT/CEO, CCO2936177

Disclosures

Regulatory Event1

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

J.M LUMMIS SECURITIES, INC.

CRD#: 43818New Canaan, CT 06840

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