Nicola M. 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.
Nicola Marie Brown was a registered financial professional .
Nicola is a previously registered financial professional and started their career in finance in 2000. Nicola had worked at 2 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2012 - November 11, 2014
MVISION PRIVATE EQUITY ADVISERS USA LLC
February 7, 2003 - April 30, 2009
MVISION PRIVATE EQUITY ADVISERS USA LLC
November 24, 2000 - July 16, 2002
FAM DISTRIBUTORS, 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
Current Firm
MVISION PRIVATE EQUITY ADVISERS USA LLC
CRD#: 122242 / SEC#: , 8-65479
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MVISION PRIVATE EQUITY ADVISERS LIMITED | MEMBER | |
| GUEN, MOUNIR | CHIEF EXECUTIVE OFFICER, MANAGER, CCO | 4576504 |
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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