Frank W. Brown
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.
Frank Wilson Brown was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1979. Frank had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2002 - November 1, 2016
PACES BATTLE GROUP, INC.
April 21, 1997 - August 8, 2001
FIG PARTNERS, LLC
August 17, 1992 - June 6, 1997
CARTER, TERRY & COMPANY, INC.
June 27, 1990 - July 14, 1992
DB ALEX. BROWN LLC
April 29, 1985 - January 13, 1990
CREDIT SUISSE SECURITIES (USA) LLC
January 5, 1984 - April 19, 1985
THE ROBINSON-HUMPHREY COMPANY, LLC
February 26, 1979 - May 17, 1982
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PACES BATTLE GROUP, INC.
CRD#: 118079 / SEC#: , 8-53629
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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