Ronald D. 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.
Ronald Duane Brown, who also goes by Ron Brown, Ronnie Brown, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1975. Ronald had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2006 - December 31, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 22, 2004 - October 2, 2006
CAMBRIDGE LEGACY SECURITIES L.L.C.
November 9, 2000 - July 29, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 13, 1995 - November 7, 2000
WORLD CAPITAL BROKERAGE, INC.
February 26, 1991 - December 31, 1994
SUNSET FINANCIAL SERVICES, INC.
February 24, 1976 - February 21, 1991
AMERICAN GENERAL EQUITY SERVICES CORPORATION
March 13, 1975 - April 1, 1976
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 13, 1975 - April 1, 1976
SIGNATOR INVESTORS, 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
Series 1
Date: 3/8/1975
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
