Doyal N. 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.
Doyal Nichols Brown, who also goes by Nick Brown, Doyal Nichols Frazier, was a registered financial professional .
Doyal is a previously registered financial professional and started their career in finance in 1974. Doyal had worked at 10 firms and has passed the Series 66, Series 63, Series 1 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
December 14, 2011 - December 10, 2012
PURSHE KAPLAN STERLING INVESTMENTS
August 19, 2011 - February 22, 2024
DILIGENT INVESTORS, LLC
June 13, 2005 - August 24, 2011
FIRST ALLIED SECURITIES, INC.
June 13, 2005 - August 24, 2011
FIRST ALLIED SECURITIES, INC.
June 29, 2004 - June 13, 2005
ROUND HILL SECURITIES, INC.
June 29, 2004 - June 13, 2005
ROUND HILL SECURITIES, INC.
May 16, 2000 - June 30, 2004
FIRST ALLIED SECURITIES, INC.
April 13, 2000 - June 30, 2004
FIRST ALLIED SECURITIES, INC.
February 15, 1991 - April 13, 2000
CHRISTOPHER WEIL & COMPANY, INC.
November 2, 1988 - March 14, 1991
PSI SECURITIES CORPORATION
June 24, 1986 - October 24, 1988
MADISON MARKETING CORPORATION
February 20, 1986 - July 21, 1986
PSI SECURITIES CORPORATION
April 10, 1984 - March 5, 1986
MORGAN STANLEY & CO. LLC
February 24, 1978 - May 9, 1984
MORGAN STANLEY DW INC.
April 4, 1974 - February 24, 1978
DEAN WITTER & CO. 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: 3/29/1974
Registered Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
