Bryan M. 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.
Bryan Matthew Brown, who also goes by Bryan Brown, was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 2018. Bryan had worked at 2 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
February 18, 2022 - November 30, 2023
WAUBANK SECURITIES LLC
October 9, 2018 - March 18, 2020
CITIGROUP GLOBAL MARKETS 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
WAUBANK SECURITIES LLC
CRD#: 310408 / SEC#: , 8-70589
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| F.N.B. CORPORATION | OWNER | |
| ATTANASIO, ELIZABETH MARIE | FINOP | 5325007 |
| DIEZ, DAVID MICHAEL | CAPITAL MARKETS BANKER | 3174442 |
| DUTEY, JAMES LEE | BOARD OF DIRECTOR | |
| EL NOKALI, AHMED | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND BOARD OF DIRECTOR | |
| MITCHELL, DAVID BRYANT | CHIEF EXECUTIVE OFFICER | 3065614 |
| WHITESEL, THOMAS M. | BOARD OF DIRECTOR | |
| ZELCH, THEODORE LAINE | AML COMPLIANCE OFFICER | 7610581 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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