Stephen 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.
Stephen Brown was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1969. Stephen had worked at 10 firms and has passed the Series 63, SIE, Series 1, Series 24, Series 4 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 19, 1990 - November 8, 1994
PACE SECURITIES, INC.
July 20, 1988 - September 16, 2016
OPPENHEIMER & CO. INC.
February 24, 1988 - July 8, 1988
NORTH AMERICAN INVESTMENT CORP.
November 25, 1986 - February 24, 1988
PROVIDENCE SECURITIES, INC.
September 18, 1981 - November 18, 1986
DOMIK CORP.
May 28, 1980 - October 23, 1983
S. D. COHN & CO.
December 1, 1972 - October 22, 1980
INVESTORS ASSOCIATES, INC.
September 2, 1971 - March 12, 1973
FILOR, BULLARD & SMYTH
May 20, 1971 - October 1, 1971
A. C. KLUGER & CO.
September 8, 1969 - March 16, 1971
CARLTON-CAMBRIDGE & COMPANY INC
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: 9/5/1969
Registered Representative ExaminationSeries 00
Date: 4/15/1974
General Securities Principal ExaminationCurrent Firm
PACE SECURITIES, INC.
CRD#: 10288 / SEC#: , 8-33060
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
Red Flags
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