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HOWARD BROWN
CRD#: 2100186
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 13450 W SUNRISE BLVD
SUITE # 240
SUNRISE, FL 33323
CETERA INVESTMENT SERVICES LLCCRD#: 15340 13450 W SUNRISE BLVD
SUITE # 240
SUNRISE, FL 33323
Registration History
199019952000200520102015202020252 FIRMS1990 - 1994 (4 years)2 FIRMS2004 - 2017 (13 years)2 FIRMS2017 - 2019 (2 years)2 FIRMS2019 - Present (5 years)BSUNTRUST SECURITIES, INC. (CRD# 17499)2001 - 2003 (2 years)BABN AMRO FINANCIAL SERVICES, INC. (CRD# 20373)1997 - 2001 (4 years)BESSEX NATIONAL SECURITIES, INC. (CRD# 25454)1997 - 2000 (3 years)BFIS SECURITIES, INC. (CRD# 30533)1997 - 1997 (<1 year)BFLEET ENTERPRISES, INC. (CRD# 17434)1996 - 1997 (<1 year)B1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)1994 - 1996 (1 year)IASUNTRUST SECURITIES, INC. (CRD# 17499)2002 - 2003 (<1 year)
License(s)

State Registrations

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Alabama 2/18/2021

B
New York 10/4/2019

B
Florida 10/4/2019

B
Ohio 11/8/2019

IA
Florida 10/9/2019

B
Pennsylvania 8/26/2024

B
Georgia 10/4/2019

B
South Carolina 10/4/2019

B
Kentucky 10/4/2019

B
Virginia 11/13/2019

B
New Jersey 4/27/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
13450 W SUNRISE BLVD SUITE # 240, SUNRISE, FL 33323
DELRAY BEACH, FL
Registered with this firm since 10/9/2019

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
13450 W SUNRISE BLVD SUITE # 240, SUNRISE, FL 33323
DELRAY BEACH, FL
Registered with this firm since 10/4/2019

Previous Registration(s)
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IA
02/22/2017 - 11/07/2019 LPL FINANCIAL LLC (CRD#:6413) SURFSIDE, FL
B
02/21/2017 - 11/07/2019 LPL FINANCIAL LLC (CRD#:6413) SURFSIDE, FL
IA
01/12/2004 - 02/02/2017 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) ATLANTA, GA
B
01/12/2004 - 02/02/2017 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) ATLANTA, GA
IA
12/02/2002 - 10/31/2003 SUNTRUST SECURITIES, INC. (CRD#:17499) ATLANTA, GA
B
10/02/2001 - 10/31/2003 SUNTRUST SECURITIES, INC. (CRD#:17499) ATLANTA, GA
B
07/21/1997 - 08/22/2001 ABN AMRO FINANCIAL SERVICES, INC. (CRD#:20373) CHICAGO, IL
B
07/28/1997 - 09/13/2000 ESSEX NATIONAL SECURITIES, INC. (CRD#:25454) NAPA, CA
B
01/16/1997 - 07/17/1997 FIS SECURITIES, INC. (CRD#:30533) BOSTON, MA
B
11/13/1996 - 07/11/1997 FLEET ENTERPRISES, INC. (CRD#:17434) NEW YORK, NY
B
11/14/1994 - 10/16/1996 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) NEWARK, DE
B
10/17/1990 - 10/17/1994 EQUICO SECURITIES, INC. (CRD#:6627) NEW YORK, NY
B
10/17/1990 - 10/17/1994 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
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.