Alexander P. 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.
Alexander Paul Brown III, who also goes by Alexander Paul Brown, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1960. Alexander had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2016 - September 8, 2017
CAPITAL PORTFOLIO MANAGEMENT, INC.
November 24, 2015 - December 14, 2015
CAPITAL PORTFOLIO MANAGEMENT, INC.
November 24, 2015 - September 8, 2017
CAPITAL PORTFOLIO MANAGEMENT, INC.
April 16, 2008 - November 16, 2015
CHAPIN, DAVIS
April 16, 2008 - November 16, 2015
CHAPIN, DAVIS
January 3, 2003 - April 17, 2008
FERRIS, BAKER WATTS, LLC
January 3, 2003 - April 17, 2008
FERRIS, BAKER WATTS, LLC
January 13, 2001 - January 8, 2003
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
January 1, 1996 - January 8, 2003
DEUTSCHE BANK SECURITIES INC.
August 18, 1960 - September 1, 1997
ALEX. BROWN & SONS 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
Series 1
Date: 8/18/1960
Registered Representative ExaminationCurrent Firm
CAPITAL PORTFOLIO MANAGEMENT, INC.
CRD#: 29302 / SEC#: , 8-44225
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DYER, PATRICK VINCENT | PRESIDENT/COMMON STOCK SHAREHOLDER/CONTROL PERSON/CHIEF COMPLIANCE OFFICER | 1668143 |
| BATHURST, GERALD LEE | PREFERRED SHAREHOLDER - NON-VOTING | 4765994 |
| BURGSTINER, VIRGINIA L | PREFERRED SHAREHOLDER | |
| FRIES, LOUIS F. | PREFERRED SHAREHOLDER | 5688603 |
| MIDDLETON, STEVEN WEIHE | PREFERRED SHAREHOLDER | 4367629 |
| TAYLOR, LAVENA RUTH | PREFERRED SHAREHOLDER/NON-VOTING | 2579245 |
| BATHURST, ROSEMARY ANNE | PREFERRED SHAREHOLDER - NON-VOTING | 4765983 |
| EISWERT, MARY K | PREFERRED SHAREHOLDER | |
| MIDDLETON, KRISTIN W | PREFERRED SHAREHOLDER - NON VOTING | 4664838 |
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 15,800,000 |
Disclosures
| Regulatory Event | 6 |
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.
