Andrew P. 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.
Andrew Philip Brown, who also goes by Andrew Brown, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2011. Andrew had worked at 6 firms and has passed the Series 63, SIE, Series 55 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
August 6, 2019 - November 7, 2019
CITADEL SECURITIES INSTITUTIONAL LLC
May 18, 2018 - November 7, 2019
CITADEL SECURITIES LLC
January 5, 2018 - May 7, 2018
DEUTSCHE BANK SECURITIES INC.
June 28, 2017 - November 29, 2017
FORGE MARKETS LLC
July 14, 2015 - February 28, 2017
J.P. MORGAN SECURITIES LLC
July 12, 2011 - June 4, 2015
UBS SECURITIES LLC
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
Series 55
Date: 7/21/2011
Limited Representative-Equity Trader ExamCurrent Firm
CITADEL SECURITIES INSTITUTIONAL LLC
CRD#: 281102 / SEC#: , 8-69663
Contact information
FINRA licenses (16 States and Territories)
Documents
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.
