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WB

William G. Brown

Some features on this profile are disabled
CRD#: 33153
WB

Professional summary

William Gerard Brown was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, William had worked at 12 firms, which includes RUSSO SECURITIES INC., LCP CAPITAL CORP., BULL & BEAR SECURITIES INC., THOMSON MCKINNON SECURITIES INC., PERSHING LLC, DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION, REYNOLDS SECURITIES INC., PAINE WEBBER JACKSON & CURTIS INCORPORATED, DOMIK CORP., SUMMIT SECURITIES INC, THE INVESTAMERICA GROUP INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bill Brown | William Gerald Brown

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 21, 1991 - June 29, 2000

RUSSO SECURITIES INC.

BD
CRD#: 14425
STATEN ISLAND, NY
Past

July 16, 1990 - September 20, 1990

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY
Past

May 21, 1985 - June 12, 1990

RUSSO SECURITIES INC.

BD
CRD#: 14425
STATEN ISLAND, NY
Past

October 11, 1984 - April 30, 1985

BULL & BEAR SECURITIES, INC.

BD
CRD#: 15142
Past

February 24, 1983 - November 28, 1984

THOMSON MCKINNON SECURITIES INC.

BD
CRD#: 829
Past

March 10, 1978 - January 18, 1983

PERSHING LLC

BD
CRD#: 7560
Past

February 24, 1978 - March 10, 1978

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

BD
CRD#: 7554
Past

February 2, 1978 - February 24, 1978

DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION

BD
CRD#: 6458
Past

August 18, 1977 - March 25, 1978

REYNOLDS SECURITIES, INC.

BD
CRD#: 712
Past

June 20, 1973 - October 1, 1977

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

November 15, 1971 - June 14, 1973

DOMIK CORP.

BD
CRD#: 223
Past

April 20, 1971 - December 26, 1971

SUMMIT SECURITIES INC

BD
CRD#: 1000006
Past

March 5, 1971 - January 3, 1972

THE INVESTAMERICA GROUP INC.

BD
CRD#: 432

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/5/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 2/8/1965
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 6/25/1970
General Securities Principal Examination

Current Firm

RS
RUSSO SECURITIES INC.
RUSSO SECURITIES INC.

CRD#: 14425 / SEC#: , 8-24052

BD
Cancelled by SEC on 10/04/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/20/1979
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RUSSO, FERDINANDDIR, CROP, SROP, FINOP (5/23/00), CHAIRMAN OF BOARDCO-PRES., SECTY., TREAS., CFO407767
RUSSO, RICHARD ANTHONYDIR, CHAIRMAN OF BOARD, CO-PRESIDENT,1208819

Disclosures

Regulatory Event20
Civil Event1
Arbitration9

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.

Company Information

RUSSO SECURITIES INC.

CRD#: 14425

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