Jeffrey C. Brown
Professional summary
Jeffrey Charles Brown was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial advisor and started their career in finance in 1979. Prior to being barred, Jeffrey had worked at 10 firms, which includes CROWN CAPITAL SECURITIES L.P., LPL FINANCIAL LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., SUTRO & CO. INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, KIDDER PEABODY & CO. INCORPORATED, UBS FINANCIAL SERVICES INC., BLYTH EASTMAN DILLON & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2010 - November 11, 2010
CROWN CAPITAL SECURITIES, L.P.
October 15, 2010 - November 11, 2010
CROWN CAPITAL SECURITIES, L.P.
March 18, 1999 - November 1, 2010
LPL FINANCIAL LLC
March 11, 1999 - November 1, 2010
LPL FINANCIAL LLC
July 27, 1995 - February 26, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - July 13, 1995
CITIGROUP GLOBAL MARKETS INC.
February 19, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
April 10, 1989 - March 13, 1992
SUTRO & CO. INCORPORATED
September 20, 1985 - May 10, 1989
PRUDENTIAL EQUITY GROUP, LLC
May 23, 1983 - September 26, 1985
SUTRO & CO. INCORPORATED
July 2, 1981 - May 31, 1983
KIDDER, PEABODY & CO. INCORPORATED
January 31, 1980 - July 26, 1981
UBS FINANCIAL SERVICES INC.
February 1, 1979 - January 31, 1980
BLYTH EASTMAN DILLON & 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
Current Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
