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THOMAS SCOTT BROWN
CRD#: 4280128
IA
B
CWM, LLCCRD#: 155344 1 BIGELOW SQUARE, 20TH FLOOR
PITTSBURGH, PA 15219
PITTSBURGH, PA 15219
CETERA ADVISOR NETWORKS LLCCRD#: 13572 409 BROAD ST STE 130
SEWICKLEY, PA 15143
SEWICKLEY, PA 15143
0
Disclosures
24
Years of Experience
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State Registrations
B
California 1/5/2023
B
North Carolina 1/23/2017
B
Florida 1/18/2017
IA
Pennsylvania 12/10/2013
B
New Hampshire 1/19/2017
B
Pennsylvania 1/18/2017
B
New Jersey 2/3/2017
B
Virginia 5/24/2022
SRO Registrations
B
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IA
Registered with this firm since 12/10/2013
B
Registered with this firm since 1/17/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/18/2012 - 01/19/2017 | PITTSBURGH, PA | |
IA | 12/19/2012 - 12/10/2013 | PITTSBURGH, PA | |
IA | 07/03/2003 - 12/21/2012 | PITTSBURGH, PA | |
B | 10/03/2000 - 12/21/2012 | PITTSBURGH, PA | |
B | 10/03/2000 - 07/03/2006 | MINNEAPOLIS, MN |
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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.