Mark W. 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.
Mark William Brown was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2004. Mark had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2014 - June 30, 2017
SEAPORT GLOBAL SECURITIES LLC
April 1, 2014 - September 29, 2014
GLOBAL HUNTER SECURITIES, LLC
September 16, 2010 - April 17, 2014
CITIGROUP GLOBAL MARKETS INC.
June 3, 2008 - December 3, 2009
PRITCHARD CAPITAL PARTNERS, LLC
February 23, 2006 - May 22, 2008
J.P. MORGAN SECURITIES LLC
June 8, 2004 - January 31, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2004 - May 12, 2004
J.P. MORGAN SECURITIES 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
SEAPORT GLOBAL SECURITIES LLC
CRD#: 116270 / SEC#: , 8-53535
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
