BB
Benjamin T. Brown
STONEX FINANCIAL
Park City, UT 84098
Some features on this profile are disabled
CRD#: 4341263
BB
Professional summary
Benjamin Thomas Brown, who also goes by Ben Brown, is a registered financial professional currently at STONEX FINANCIAL INC. located in Park City, Utah.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 2001. Benjamin has worked at 7 firms and has passed the Series 63, Series 57TO, Series 62, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 4, Series 30 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ben 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.
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Thomas Brown's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 3, 2019 - Present
STONEX FINANCIAL INC.
Office #1: 1441 W Ute Blvd Suite 280, Park City, UT 84098BD
CRD#: 45993
Park City, UT
Past
September 7, 2019 - December 31, 2024
STONEX OUTSOURCED SERVICES LLC
BD
CRD#: 30773
Park City, UT
Past
September 14, 2017 - March 29, 2019
COWEN PRIME SERVICES LLC
BD
CRD#: 153397
SAN FRANCISCO, CA
Past
July 23, 2014 - December 31, 2017
COWEN EXECUTION SERVICES LLC
BD
CRD#: 35693
SAN FRANCISCO, CA
Past
August 23, 2007 - September 2, 2014
CONVERGEX PRIME SERVICES LLC
BD
CRD#: 140185
SAN FRANCISCO, CA
Past
April 10, 2003 - June 24, 2005
AVIOR CAPITAL, LLC
BD
CRD#: 44732
SAN DIEGO, CA
Past
April 20, 2001 - October 24, 2002
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/25/2019)
RR
Arizona(8/9/2019)
RR
California(4/3/2019)
RR
Colorado(4/3/2019)
RR
Connecticut(8/9/2019)
RR
Florida(4/3/2019)
RR
Georgia(10/25/2019)
RR
Idaho(2/25/2022)
RR
Illinois(4/3/2019)
RR
Kentucky(10/25/2019)
RR
Louisiana(8/17/2022)
RR
Maryland(12/3/2020)
RR
Massachusetts(4/3/2019)
RR
Michigan(8/9/2019)
RR
Mississippi(10/25/2019)
RR
Missouri(4/3/2019)
RR
Nevada(4/3/2019)
RR
New Jersey(10/25/2019)
RR
New York(4/3/2019)
RR
North Carolina(12/2/2020)
RR
Ohio(5/18/2022)
RR
Oregon(4/3/2019)
RR
Pennsylvania(10/25/2019)
RR
Puerto Rico(9/13/2022)
RR
South Carolina(10/25/2019)
RR
South Dakota(10/25/2019)
RR
Texas(10/25/2019)
RR
Utah(4/3/2019)
RR
Virginia(10/25/2019)
RR
Washington(4/3/2019)
RR
Wisconsin(3/2/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/6/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SF
STONEX FINANCIAL INC.
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Phone number
(407) 741-5300
Established
Florida since 05/29/1998
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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.
