Douglas V. 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.
Douglas Vincent Brown was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1974. Douglas had worked at 7 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2004 - August 7, 2014
DC ADVISORY
November 25, 2003 - May 25, 2004
LEGACY PARTNERS GROUP, LLC
November 3, 2000 - December 31, 2001
CREDIT SUISSE SECURITIES (USA) LLC
April 29, 1996 - December 31, 2001
PERSHING LLC
June 5, 1989 - April 12, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 1978 - March 10, 1989
KIDDER, PEABODY & CO. INCORPORATED
October 23, 1974 - May 17, 1978
KIDDER, PEABODY & CO., INCORPORATED
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 1
Date: 10/14/1974
Registered Representative ExaminationCurrent Firm
DC ADVISORY
CRD#: 129919 / SEC#: , 8-66273
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DAIWA CORPORATE ADVISORY HOLDINGS INC. | SHAREHOLDER | |
| BAYER, JONATHAN LEWIS | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 5050555 |
| DONOHUE, JOSEPH THOMAS | VICE CHAIRMAN | 1630441 |
| EDMONDSON, ERIC WINSTON | VICE CHAIRMAN | 1441360 |
| KOHR, WILLIAM EDWARD | CHIEF EXECUTIVE OFFICER | 1563851 |
| PACITTO, PETER JOSEPH | CHIEF ADMINISTRATIVE OFFICER, CFO, FINOP | 1700696 |
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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