Gary L. 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.
Gary Lee Brown was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1973. Gary had worked at 19 firms and has passed the 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
May 30, 1991 - March 24, 1998
BARRON CHASE SECURITIES, INC.
February 8, 1991 - June 21, 1991
CERTIFIED INVESTMENTS CORPORATION
June 29, 1990 - November 7, 1990
BRENNAN ROSS SECURITIES, INC.
April 17, 1990 - May 7, 1991
ROTH SECURITIES COMPANY
September 24, 1985 - March 12, 1990
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
July 8, 1985 - September 3, 1985
GENERAL AMERICAN SECURITIES, INC.
January 24, 1985 - June 4, 1985
WALL STREET WEST, INC.
July 18, 1984 - November 16, 1984
CHESLEY AND DUNN, INC.
September 15, 1983 - May 18, 1984
FIRST INTERWEST SECURITIES CORPORATION
April 28, 1983 - August 11, 1983
BANKERS INTERNATIONAL SECURITIES, INC.
January 16, 1982 - April 12, 1982
MORRIS BRIDGER SECURITIES, INC
December 8, 1981 - January 6, 1982
COVEY & CO., INC.
February 3, 1978 - August 29, 1981
AMERICAN FRONTEER FINANCIAL CORPORATION
December 7, 1977 - February 27, 1978
FIRST FINANCIAL SECURITIES, INC.
August 3, 1977 - February 23, 1978
J DANIEL BELL & COMPANY, INC.
February 14, 1977 - September 4, 1977
FIRST FINANCIAL SECURITIES, INC.
September 27, 1976 - December 26, 1978
PITTMAN & COMPANY, INCORPORATED
March 23, 1973 - December 16, 1976
AMERICAN EXPRESS FINANCIAL CORPORATION
March 23, 1973 - December 16, 1976
AMERIPRISE FINANCIAL SERVICES, LLC
March 23, 1973 - December 16, 1976
IDS LIFE INSURANCE COMPANY
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: 3/16/1973
Registered Representative ExaminationCurrent Firm
BARRON CHASE SECURITIES, INC.
CRD#: 18969 / SEC#: , 8-37107
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL FINANCIAL | OWNER | |
| AIELLO, PHILIP JOHN JR | V.P. | 2214889 |
| ANDOLPHO, PETER DONALD JR | V.P. | 2034938 |
| BLUNDELL, ROGER JAMES | V.P. | 2228388 |
| COLLURA, ANTHONY BURKE | V.P. | 1212502 |
| CRISTIANO, GENNARO JERRY | V.P. | |
| FEINMEL, HOWARD | CHEIF COMPLIANCE OFFICER CCO | 1330613 |
| GALLEGOS, CRAIG STEVEN | V.P. | 2026646 |
| GRIMM, KENTON EDWARD | V.P. | 1474702 |
| HAFEZI, KIOUMARS | V.P | 1725946 |
| HERMAN, BRIAN MARCUS | V.P. | 1927274 |
| KIRK, ROBERT THOMAS | CEO | 1204425 |
| KLEIN, JAY ALAN | CFO / FINOP | 3233468 |
| LIMA, MARIE SANTA | V.P. | 2727745 |
| LOCKHART, ROGER DEAN | V.P. | 1581173 |
| MACKLE, DANIEL JOSEPH SR | V.P. | 2239531 |
| MEDRANO, PAUL DEAN | V.P. | 1550449 |
| NOLE, JOHN ANTHONY | V.P. | 1609191 |
| OHALLORAN, DANIEL PATRICK | V.P. | 1391521 |
| OREILLY, RICHARD DONLON | V.P. | 845839 |
| ORLANDO, JOHN ANTHONY | V.P | 2002197 |
| PARSI, JOEY AMIR | V.P. | 1933342 |
| PETRUSHA, MICHAEL EDWARD | V.P. | 1690224 |
Disclosures
| Regulatory Event | 13 |
| Civil Event | 2 |
| Arbitration | 29 |
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.
