Individual Firm
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DAVID PAUL BROWN
CRD#: 1008424
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 120 E BALTIMORE ST
FL 24
BALTIMORE, MD 21202
FL 24
BALTIMORE, MD 21202
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 120 E BALTIMORE ST
FL 23
BALTIMORE, MD 21202
FL 23
BALTIMORE, MD 21202
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11/16/2016
Customer Dispute
Settled
State Registrations
B
Alabama 9/2/2020
B
Missouri 2/11/2019
B
Arizona 12/4/2015
B
Montana 9/16/2020
B
Arkansas 2/28/2022
B
Nevada 9/8/2020
B
California 12/4/2015
B
New Hampshire 12/23/2015
B
Colorado 12/4/2015
B
New Jersey 2/8/2019
B
Connecticut 4/14/2021
B
New York 12/4/2015
B
Delaware 12/11/2015
B
North Carolina 12/4/2015
B
District of Columbia 12/4/2015
B
Ohio 12/4/2015
B
Florida 12/4/2015
B
Oregon 2/11/2019
B
Georgia 7/22/2019
B
Pennsylvania 12/4/2015
B
Idaho 3/21/2023
B
Rhode Island 12/4/2015
B
Illinois 7/26/2016
IA
Rhode Island 4/15/2019
B
Indiana 12/16/2015
B
South Carolina 12/4/2015
B
Kansas 3/21/2023
B
Tennessee 4/10/2019
B
Kentucky 3/23/2023
B
Texas 12/4/2015
IA
Louisiana 4/9/2018
IA
Texas 3/13/2017
B
Louisiana 2/11/2019
B
Utah 9/3/2020
B
Maine 3/21/2023
B
Virginia 12/4/2015
B
Maryland 12/4/2015
B
Washington 12/4/2015
IA
Maryland 9/13/2016
B
West Virginia 7/27/2020
B
Massachusetts 12/4/2015
B
Wisconsin 9/2/2020
B
Michigan 9/8/2020
B
Wyoming 9/2/2020
B
Minnesota 3/22/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/13/2016
B
Registered with this firm since 12/4/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/04/2015 - 12/31/2016 | BALTIMORE, MD | |
IA | 02/01/2008 - 12/15/2015 | HUNT VALLEY, MD | |
B | 02/01/2008 - 12/15/2015 | HUNT VALLEY, MD | |
IA | 10/28/2003 - 02/01/2008 | BALTIMORE, MD | |
B | 01/02/2003 - 02/01/2008 | BALTIMORE, MD | |
IA | 01/02/2003 - 10/10/2003 | BALTIMORE, MD | |
IA | 09/01/1993 - 01/08/2003 | BALTIMORE, MD | |
B | 01/13/2001 - 01/08/2003 | NEW YORK, NY | |
B | 09/01/1997 - 01/13/2001 | BALTIMORE, MD | |
B | 10/05/1981 - 09/01/1997 |
BALTIMORE, MD
01/02/2003 - 10/10/2003
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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.
IA
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.
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