Individual Firm
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STEPHEN BROWN
STEPHEN ALLAN BROWN, STEPHEN ALLEN BROWN
CRD#: 1007496
IA
B
WELLS FARGO ADVISORSCRD#: 19616 91 LONGWATER CIRCLE
STE 300
NORWELL, MA 02061
STE 300
NORWELL, MA 02061
View By:
1/21/2016
Customer Dispute
Settled
State Registrations
B
Arizona 12/12/2014
B
New Hampshire 11/14/2014
B
California 11/14/2014
B
New York 11/14/2014
B
Florida 11/14/2014
B
North Carolina 11/14/2014
B
Georgia 2/13/2024
B
Ohio 8/28/2020
B
Maine 11/14/2014
B
Puerto Rico 8/1/2022
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Maine 1/16/2019
B
South Carolina 5/2/2017
B
Maryland 5/4/2017
B
Tennessee 11/14/2014
B
Massachusetts 11/14/2014
B
Texas 11/14/2014
B
Nevada 3/24/2021
B
Virginia 11/14/2014
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
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Registered with this firm since 1/16/2019
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Registered with this firm since 11/14/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/13/2007 - 11/24/2014 | ROCKLAND, MA | |
B | 05/22/1989 - 07/25/2007 | HINGHAM, MA | |
B | 08/12/1988 - 05/22/1989 | ||
B | 05/19/1986 - 08/24/1988 | ||
B | 08/02/1984 - 05/27/1986 | ||
B | 09/24/1982 - 07/26/1984 | ||
B | 10/15/1981 - 10/20/1982 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.