Benjamin 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.
Benjamin Brown, who also goes by Ben Brown, Benjamin Brown Jr, Benjamin Brown Jr., was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2009. Benjamin had worked at 6 firms and has passed the Series 63 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 7, 2013 - December 19, 2013
SW FINANCIAL
February 21, 2012 - May 9, 2013
MM GLOBAL SECURITIES, INC.
November 16, 2011 - December 22, 2011
TRIDENT PARTNERS LTD.
August 9, 2011 - November 22, 2011
GLOBAL ARENA CAPITAL CORP
November 17, 2009 - August 15, 2011
NATIONAL SECURITIES CORPORATION
October 19, 2009 - December 31, 2009
ECKARD INVESTMENT SERVICES, 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
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
