Stephanie L. 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.
Stephanie Lynne Brown, who also goes by Stephanie Brown, Steph Grace, Stephanie L Grace, Stephanie Lynne Grace, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1998. Stephanie had worked at 11 firms and has passed the Series 66, SIE, Series 3 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
May 9, 2023 - May 6, 2026
FORESIDE FINANCIAL SERVICES, LLC
March 29, 2022 - September 7, 2022
APOLLO GLOBAL SECURITIES, LLC
March 29, 2016 - March 29, 2022
GRIFFIN CAPITAL SECURITIES, LLC
May 31, 2011 - January 29, 2016
FS INVESTMENT SOLUTIONS, LLC
December 4, 2008 - May 26, 2011
U.S. SELECT SECURITIES LLC
June 25, 2008 - September 26, 2008
DBSI SECURITIES CORPORATION
August 23, 2006 - June 19, 2008
NORTHERN TRUST SECURITIES, INC.
March 25, 2004 - July 31, 2006
PACIFIC CORNERSTONE CAPITAL INCORPORATED
April 28, 2003 - March 16, 2004
VAN ECK CAPITAL, INC.
January 1, 1999 - March 16, 2004
VAN ECK SECURITIES CORPORATION
June 5, 1998 - December 10, 1998
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
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Red Flags
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