Individual Firm
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DAVID LEE BROWN
CRD#: 1719962
IA
B
STONEX ADVISORS INC.CRD#: 174182 1717 Dixie Highway
Suite 402
Ft. Wright, KY 41011
Suite 402
Ft. Wright, KY 41011
STONEX SECURITIES INC.CRD#: 18456 1717 Dixie Highway
Suite 402
Ft. Wright, KY 41011
Suite 402
Ft. Wright, KY 41011
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11/22/2004
Customer Dispute
Denied
State Registrations
B
Florida 9/12/2014
IA
Kentucky 1/30/2015
B
Kentucky 9/12/2014
B
Ohio 9/12/2014
SRO Registrations
B
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Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/30/2015
B
Registered with this firm since 9/12/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/21/2003 - 01/30/2015 | CINCINNATI, OH | |
B | 05/19/2003 - 09/12/2014 | CINCINNATI, OH | |
IA | 06/16/2000 - 05/20/2003 | CINCINNATI, OH | |
B | 06/01/2000 - 05/20/2003 | BEDMINSTER, NJ | |
B | 12/13/1996 - 06/02/2000 | PHILADELPHIA, PA | |
B | 08/25/1993 - 11/21/1995 | SMITHFIELD, RI | |
B | 06/25/1992 - 08/06/1993 | CEDAR RAPIDS, IA | |
B | 01/03/1990 - 07/05/1990 | FORT WAYNE, IN | |
B | 01/07/1988 - 10/26/1988 | DULUTH, GA |
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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.
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.