Edward S. 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.
Edward Samuel Brown, who also goes by Eddie Brown, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1998. Edward had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2022 - December 31, 2023
TD AMERITRADE, INC.
May 7, 2018 - November 23, 2024
CHARLES SCHWAB & CO., INC.
December 15, 2009 - March 21, 2018
FIDELITY BROKERAGE SERVICES LLC
June 1, 2009 - October 1, 2009
MORGAN STANLEY
March 22, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 20, 1998 - November 17, 2000
JBS LIBERTY SECURITIES, INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
