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GB

Gregory A. Brown

Some features on this profile are disabled
CRD#: 846027
GB

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.

Gregory Alexander Brown was a registered financial professional .

Gregory is a previously registered financial professional and started their career in finance in 1977. Gregory had worked at 11 firms and has passed the Series 63, SIE, Series 5, Series 7 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 16, 2013 - October 30, 2024

GUZMAN & COMPANY

BD
CRD#: 21013
NEW YORK, NY
Past

December 4, 2012 - July 3, 2013

KOTA GLOBAL SECURITIES INC.

BD
CRD#: 28137
NEW YORK, NY
Past

September 12, 2011 - August 2, 2012

MFR SECURITIES, INC.

BD
CRD#: 36308
NEW YORK, NY
Past

December 21, 2009 - July 25, 2011

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

October 11, 2007 - September 17, 2009

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

November 5, 2001 - October 8, 2007

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

September 1, 1999 - March 9, 2000

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

January 20, 1999 - January 27, 2000

CMI CAPITAL MARKET INVESTMENT, LLC

BD
CRD#: 46219
NEW YORK, NY
Past

March 31, 1995 - December 30, 1996

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

August 24, 1989 - July 26, 1994

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

December 5, 1977 - August 17, 1989

SALOMON BROTHERS INC.

BD
CRD#: 740

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/31/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 10/21/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 11/30/1978
Registered Principal Examination

Current Firm

G&
GUZMAN & COMPANY
GUZMAN & COMPANY

CRD#: 21013 / SEC#: , 8-38646

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
101 Aragon Avenue, Coral Gables, FL 33134-5426
Mailing Address
101 Aragon Avenue, Coral Gables, FL 33134-5426
Phone number
(305) 374-3600
Established
Florida since 01/28/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
GUZMAN, LEOPOLDO EUGENIOPRESIDENT AND OWNER
BAZYLEWICZ, PETER MICHAELCHIEF OPERATING OFFICER2142678
GUZMAN, SUSAN COVERTCORPORATE SECRETARY AND DIRECTOR1750039
MILLER, ALEXIS GUZMANCHIEF FINANCIAL OFFICER, POO, PFO5014670
TORIBIO, LUIS ACHIEF COMPLIANCE OFFICER6248172

Disclosures

Regulatory Event5

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.

Company Information

GUZMAN & COMPANY

CRD#: 21013

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