Danny A. 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.
Danny Alexander Brown Jr., who also goes by Danny A. Brown, Danny Alexander Brown Jr, Danny Brown, Dan Brown, Danny Alexander Brown Jr., Danny Brown Jr., was a registered financial professional .
Danny is a previously registered financial professional and started their career in finance in 2006. Danny had worked at 7 firms and has passed the Series 63, SIE 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
January 26, 2023 - July 24, 2023
PAULSON INVESTMENT COMPANY LLC
July 26, 2016 - June 1, 2021
J.P. MORGAN SECURITIES LLC
April 1, 2013 - August 2, 2016
FOUR POINTS CAPITAL PARTNERS LLC
March 7, 2011 - April 4, 2013
COLUMBUS ADVISORY GROUP, LTD.
July 16, 2010 - January 5, 2011
EQUITABLE ADVISORS, LLC
April 4, 2007 - July 10, 2008
MERCER CAPITAL LTD.
November 16, 2006 - March 30, 2007
MAX INTERNATIONAL BROKER/DEALER CORP.
June 6, 2006 - August 25, 2006
MERCER CAPITAL LTD.
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
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
