Wendy E. Brown
Professional summary
Wendy Elizabeth Werner Brown was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Wendy is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Wendy had worked at 7 firms, which includes SHEFFIELD SECURITIES INC., K.W. BROWN INVESTMENTS, BROWN & HAWK INC., A.G.P. / ALLIANCE GLOBAL PARTNERS, MORGAN STANLEY DW INC., BLYTH EASTMAN DILLON & CO. INCORPORATED, THOMSON MCKINNON SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 1988 - January 9, 1989
SHEFFIELD SECURITIES, INC.
September 17, 1986 - May 12, 2008
K.W. BROWN INVESTMENTS
August 9, 1983 - February 18, 1987
BROWN & HAWK, INC.
February 12, 1982 - March 25, 1985
A.G.P. / ALLIANCE GLOBAL PARTNERS
December 6, 1979 - May 7, 1982
MORGAN STANLEY DW INC.
November 1, 1978 - December 2, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
September 1, 1978 - December 6, 1978
THOMSON MCKINNON SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
SHEFFIELD SECURITIES, INC.
CRD#: 16475 / SEC#: , 8-34010
Contact information
Documents
Red Flags
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