Anita A. 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.
Anita Alter Brown, who also goes by Anita Dianne Alter Ms., Anita A Anderson, was a registered financial professional .
Anita is a previously registered financial professional and started their career in finance in 1999. Anita had worked at 13 firms and has passed the Series 65, Series 63, SIE 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
January 18, 2023 - May 25, 2023
CORIENT
April 5, 2022 - January 18, 2023
SUREVEST PRIVATE WEALTH
September 28, 2018 - April 6, 2022
L & S ADVISORS, INC
April 25, 2017 - June 21, 2017
OAKSHORE PARTNERS, LLC
April 21, 2016 - May 18, 2016
CALTON & ASSOCIATES, INC.
March 22, 2012 - February 26, 2016
MUTUAL SECURITIES, INC.
July 27, 2011 - March 9, 2012
PURSHE KAPLAN STERLING INVESTMENTS
July 1, 2011 - October 5, 2018
BEVERLY HILLS WEALTH MANAGEMENT, LLC
June 1, 2009 - July 7, 2011
MORGAN STANLEY
June 1, 2009 - July 7, 2011
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 17, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
October 17, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
January 3, 2003 - October 21, 2003
OPPENHEIMER & CO. INC.
January 3, 2003 - October 21, 2003
OPPENHEIMER & CO. INC.
January 26, 1999 - January 3, 2003
CIBC WORLD MARKETS CORP.
January 20, 1999 - January 3, 2003
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
CORIENT
CRD#: 319448 / SEC#: 801-124978
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
CORIENT
CRD#: 319448 / SEC#: 801-124978
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 109,685 |
| AUM (Assets Under Management) | $ 143,628,532,902 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/28/2024 | ||
| 10/27/2023 | ||
| 05/03/2023 |
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.
