Richard L. Brown
Professional summary
Richard Lyndon Brown was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Richard had worked at 8 firms, which includes ARIVE CAPITAL MARKETS, CHELSEA FINANCIAL SERVICES, BROOKSTONE SECURITIES INC., FIRST MIDWEST SECURITIES INC., BRECEK & YOUNG ADVISORS INC., CANTELLA & CO. INC., BROOKSTREET SECURITIES CORPORATION, TASIN & COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2015 - May 6, 2016
ARIVE CAPITAL MARKETS
February 15, 2012 - November 2, 2015
CHELSEA FINANCIAL SERVICES
December 20, 2008 - March 12, 2012
BROOKSTONE SECURITIES, INC.
November 10, 2008 - December 26, 2008
FIRST MIDWEST SECURITIES, INC.
August 23, 2006 - November 6, 2008
BRECEK & YOUNG ADVISORS, INC.
August 26, 2002 - September 20, 2006
CANTELLA & CO., INC.
February 12, 2001 - July 30, 2002
BROOKSTREET SECURITIES CORPORATION
November 19, 1999 - February 6, 2001
TASIN & COMPANY, INC.
State Registrations and Notice Filings
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Exams
Current Firm
ARIVE CAPITAL MARKETS
CRD#: 8060 / SEC#: , 8-43350
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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