David A. Brown
Professional summary
David A Brown is a registered financial professional currently at ERNST & YOUNG CAPITAL ADVISORS, LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David A Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 27, 2015 - Present
ERNST & YOUNG CAPITAL ADVISORS, LLC
Office #1: One Manhattan West, New York, NY 10001April 30, 2013 - April 21, 2015
OPPENHEIMER & CO. INC.
September 22, 2008 - February 26, 2013
BARCLAYS CAPITAL INC.
February 14, 2001 - September 22, 2008
LEHMAN BROTHERS 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
(11/6/2024)
(4/27/2015)
(4/27/2015)
(4/27/2015)
(4/27/2015)
(4/27/2015)
(4/27/2015)
(5/30/2018)
(4/27/2015)
(5/28/2025)
(4/27/2015)
(4/27/2015)
(4/28/2015)
(7/18/2024)
(4/27/2015)
(1/17/2019)
(4/27/2015)
(1/4/2016)
(4/27/2015)
(9/14/2016)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ERNST & YOUNG CAPITAL ADVISORS, LLC
CRD#: 152514 / SEC#: , 8-68461
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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