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DB

Danard W. Brown

Some features on this profile are disabled
CRD#: 3184347
DB

Professional summary

Danard Warthen Brown was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Danard Warthen Brown, who also goes by Dan Brown, was a registered financial professional .

Danard is a previously registered financial professional and started their career in finance in 1999. Danard had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 14, 2016 - January 28, 2019

JOSEPH STONE CAPITAL L.L.C.

BD
CRD#: 159744
CENTER MORICHES, NY
Past

December 5, 2016 - December 15, 2016

FIRST STANDARD FINANCIAL COMPANY LLC

BD
CRD#: 168340
Miller Place, NY
Past

March 30, 2015 - December 2, 2016

LEGEND SECURITIES, INC.

BD
CRD#: 44952
Miller Place, NY
Past

March 13, 2015 - March 20, 2015

SIXTEEN SECURITIES, INC.

BD
CRD#: 104025
Miller Place, NY
Past

February 12, 2015 - March 17, 2015

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
MILLER PLACE, NY
Past

October 29, 2012 - February 6, 2015

CAPE SECURITIES INC.

BD
CRD#: 7072
LAKE GROVE, NY
Past

December 13, 2004 - October 28, 2011

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
MEDFORD, NY
Past

September 14, 2004 - December 15, 2004

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 14, 2004 - December 15, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

March 18, 2003 - August 13, 2004

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

April 25, 2002 - March 5, 2003

MILESTONE FINANCIAL SERVICES, INC.

BD
CRD#: 43295
BOHEMIA, NY
Past

July 26, 1999 - May 16, 2002

SEABOARD SECURITIES, INC.

BD
CRD#: 755
FLORHAM PARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/9/1999
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: 6/2/1999
General Securities Representative Examination

Current Firm

JS
JOSEPH STONE CAPITAL L.L.C.
JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744 / SEC#: , 8-69014

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

Main Address
585 Stewart Ave Suite L60c, Garden City, NY 11530
Mailing Address
585 Stewart Ave Suite L60c, Garden City, NY 11530
Phone number
(516) 267-7001
Established
Delaware since 11/04/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DPMM HOLDINGS L.L.C.HOLDING COMPANY
GRAZIANO, ANTHONY JOSEPHCCO2862096
MAGGIO, DAMIANCEO2864247
NIXON, JON ALANFINOP4710715

Disclosures

Regulatory Event5
Arbitration3

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

JOSEPH STONE CAPITAL L.L.C.

CRD#: 159744

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