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Frank Wilson Brown

CRD# 862745·Registered 1979 - 2016
Previously Registered: Being a previously registered professional could mean that Frank 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.

Professional Summary

Frank Wilson Brown was a registered financial advisor. Frank was a previously registered financial professional and started their career in finance 1979 - 2016. Frank had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

47 years in the financial services industry

Current & Past Employments

PACES BATTLE GROUP, INC.·CRD# 118079
BD
Atlanta, GA
April 29, 2002 - November 1, 2016
FIG PARTNERS, LLC·CRD# 41554
BD
Atlanta, GA
April 21, 1997 - August 8, 2001
CARTER, TERRY & COMPANY, INC.·CRD# 16365
BD
Atlanta, GA
August 17, 1992 - June 6, 1997
DB ALEX. BROWN LLC·CRD# 17790
BD
Baltimore, MD
June 27, 1990 - July 14, 1992
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
April 29, 1985 - January 13, 1990
THE ROBINSON-HUMPHREY COMPANY, LLC·CRD# 723
BD
January 5, 1984 - April 19, 1985
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
February 26, 1979 - May 17, 1982

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Current Firm

PB
PACES BATTLE GROUP, INC.

BANKERS BANC CAPITAL CORPORATION | SILVERTON CAPITAL CORPORATION | PACES BATTLE GROUP, INC.

CRD#: 118079 / SEC#: 8-53629
BD
Terminated by SEC on 01/29/2019

Contact Information

Established

Georgia since 10/20/2001

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WESTWIND, LLCOWNER—
TORRES, MARIETTE CLARDYPRESIDENT / CEO / CHIEF COMPLIANCE OFFICER5053189
WEEKS, CURTIS ALLANFINOP, PFO, POO5278425

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 1990About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Feb 1979About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 2002About the Series 24 exam

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CRS (Client Relationship Summary)

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

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