George 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.
George Alvin Brown was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1959. George had worked at 4 firms and has passed the Series 63, Series 15, Series 5, PC 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
September 14, 2001 - April 11, 2002
SHARE KING, LLC
January 29, 1973 - November 16, 1976
VERAVEST INVESTMENTS, INC.
August 9, 1971 - November 16, 1976
ALLMERICA FINANCIAL LIFE INSURANCE AND ANNUITY COMPANY
December 31, 1959 - October 6, 1999
BROWNCO, LLC
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 15
Date: 11/11/1982
Foreign Currency Options ExaminationSeries 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 8/5/1980
AMEX Put and Call ExamSeries 1
Date: 12/10/1956
Registered Representative ExaminationCurrent Firm
SHARE KING, LLC
CRD#: 33150 / SEC#: , 8-46144
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GROUP ONE TRADING, LP | OWNER | |
| SUSLOW, ALAN RANDALL | CHIEF EXECUTIVE OFFICER/DIRECTOR/SROP/COMPLIANCE OFFICER | 2276642 |
| CLARK, MICHAEL LAWRENCE | CFO, FINOP, TREASURER, COMPLIANCE ANALYST | 4514317 |
| GREBITUS, WILLIAM BREUNER | DIRECTOR | 1751515 |
| ROBINSON, STEVEN REED | DIRECTOR | 2276646 |
| SPARKS, GARY DUANE | DIRECTOR/VP | 1076357 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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