Melville S. 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.
Melville Steuart Brown, who also goes by M Steuart Brown, was a registered financial advisor .
Melville is a previously registered financial advisor and started their career in finance in 1971. Melville had worked at 19 firms and has passed the Series 65, Series 63, Series 8, Series 4, Series 12 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2008 - October 6, 2010
WESTERN INTERNATIONAL SECURITIES, INC.
January 7, 2008 - October 6, 2010
WESTERN INTERNATIONAL SECURITIES, INC.
November 3, 2006 - January 10, 2008
SEAHORSE CAPITAL, INC.
September 6, 2006 - December 21, 2007
OBSIDIAN FINANCIAL GROUP, LLC
September 6, 2006 - December 21, 2007
OBSIDIAN FINANCIAL GROUP, LLC
January 5, 2004 - August 3, 2006
STONE & YOUNGBERG LLC
December 20, 2002 - August 3, 2006
STONE & YOUNGBERG LLC
March 21, 2002 - December 17, 2002
WELLS FARGO INVESTMENTS, LLC
July 11, 2001 - December 17, 2002
WELLS FARGO INVESTMENTS, LLC
November 16, 2000 - July 11, 2001
WELLS FARGO SECURITIES, LLC
November 28, 1994 - January 25, 2001
WELLS FARGO CLEARING SERVICES, LLC
December 23, 1986 - August 22, 1994
BA INVESTMENT SERVICES, INC.
May 14, 1986 - September 15, 1986
VALUE EQUITIES CORPORATION
April 19, 1985 - May 29, 1985
INVEST FINANCIAL CORPORATION
June 4, 1984 - January 24, 1985
LA JOLLA SECURITIES, INC.
November 9, 1983 - March 23, 1984
DETWILER, RYAN & CO., INC.
October 8, 1981 - August 1, 1983
RAUSCHER PIERCE REFSNES, INC.
January 31, 1980 - November 19, 1981
UBS FINANCIAL SERVICES INC.
February 27, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
November 22, 1977 - November 27, 1978
LEHMAN BROTHERS INC.
March 23, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
October 1, 1973 - April 18, 1977
DEAN WITTER & CO. INCORPORATED
January 27, 1971 - November 4, 1973
DUPONT WALSTON, 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 8
Date: 12/1/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 9/1/1975
NYSE Branch Manager ExaminationSeries 00
Date: 6/7/1975
General Securities Principal ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
