Gloria Brown
Professional summary
Gloria Brown, who also goes by Gloria Owusuaa Amamfo, Gloria Amamfo, Gloria Amanfo, is a registered financial professional currently at VISION FINANCIAL MARKETS LLC located in Stamford, Connecticut.
Gloria is registered as a RR (Registered Representative) and started their career in finance in 2014. Gloria has worked at 1 firm and has passed the Series 99TO, SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gloria Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 30, 2024 - Present
VISION FINANCIAL MARKETS LLC
Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901August 25, 2014 - February 28, 2022
VISION FINANCIAL MARKETS 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 99TO
Date: 3/30/2024
Operations Professional ExaminationFINRA
Current Firm
VISION FINANCIAL MARKETS LLC
CRD#: 142271 / SEC#: , 8-67447
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHMAN, HOWARD MARTIN | PRESIDENT, CFO, CEO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| ROTHMAN, MICHAEL DAVID | GENERAL MANAGER | 6682487 |
| FELAG, JOHN CHRISTOPHER | CHIEF RISK OFFICER | 1874602 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VICE PRESIDENT OPERATIONS, PRINCIPAL OPERATIONS OFFICER | 5288054 |
Disclosures
| Regulatory Event | 32 |
Red Flags
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