Individual Firm
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DAVID JOEL BROWER
CRD#: 4050317
IA
B
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 663 S. Washington Street
Alexandria, VA 22314
Alexandria, VA 22314
LPL FINANCIAL LLCCRD#: 6413 663 SOUTH WASHINGTON STREET
ALEXANDRIA, VA 22314-3011
ALEXANDRIA, VA 22314-3011
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8/13/2012
Customer Dispute
Settled
State Registrations
B
Arkansas 6/24/2021
B
New Mexico 2/13/2023
B
California 5/12/2010
B
New York 7/24/2023
B
District of Columbia 5/12/2010
B
North Carolina 9/10/2014
B
Florida 1/14/2015
B
Pennsylvania 5/10/2018
B
Georgia 5/12/2010
B
Rhode Island 7/11/2017
B
Maine 1/19/2021
IA
Rhode Island 10/31/2018
B
Maryland 5/12/2010
B
South Carolina 5/12/2010
B
Massachusetts 5/12/2010
IA
Texas 10/31/2018
B
Michigan 5/25/2010
B
Texas 1/17/2025
B
Missouri 12/20/2012
B
Virginia 5/12/2010
B
Nebraska 7/13/2010
IA
Virginia 12/13/2018
B
Nevada 9/13/2016
B
West Virginia 5/12/2010
B
New Jersey 7/18/2024
SRO Registrations
B
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IA
Registered with this firm since 10/31/2018
B
Registered with this firm since 5/12/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/03/2010 - 12/07/2018 | ALEXANDRIA, VA | |
IA | 06/08/2007 - 05/12/2010 | ALEXANDRIA, VA | |
B | 06/08/2007 - 05/12/2010 | ALEXANDRIA, VA | |
IA | 04/02/2007 - 06/12/2007 | ALEXANDRIA, VA | |
B | 04/02/2007 - 06/12/2007 | ALEXANDRIA, VA | |
IA | 02/28/2000 - 04/02/2007 | ALEXANDRIA, VA | |
B | 11/18/1999 - 04/02/2007 | ALEXANDRIA, VA |
ALEXANDRIA, VA
06/08/2007 - 05/12/2010
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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.