John P. Brown
Professional summary
John Patrick Brown, who also goes by Pete Brown, is a registered financial professional currently at X-CHANGE FINANCIAL ACCESS, LLC located in Chicago, Illinois.
John is registered as a RR (Registered Representative) and started their career in finance in 1979. John has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Patrick Brown's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 26, 2004 - Present
X-CHANGE FINANCIAL ACCESS, LLC
Office #1: 222 W Adams Street Suite 450, Chicago, IL 60606August 20, 2003 - November 18, 2003
X-CHANGE FINANCIAL ACCESS, LLC
July 31, 2002 - December 16, 2002
DASH FINANCIAL TECHNOLOGIES LLC
July 31, 1980 - March 1, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 1979 - August 25, 1980
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 5
Date: 10/22/1981
Interest Rate Options ExaminationCboe Exchange, Inc.
FINRA
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Current Firm
X-CHANGE FINANCIAL ACCESS, LLC
CRD#: 126201 / SEC#: , 8-65860
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 32 |
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.
