Leonard S. 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.
Leonard Simpson Brown, who also goes by Pat Brown, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 2004. Leonard had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2005 - March 16, 2012
FRONTIER WEALTH MANAGEMENT, LLC
April 6, 2004 - April 13, 2018
ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
FRONTIER WEALTH MANAGEMENT, LLC
CRD#: 132452 / SEC#:
Contact information
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.
